3 Ways Text Messaging Exposes Government Organizations to Massive Risk

While 97% of Americans with a smartphone use them to send texts, many organizations don’t have any supervision or management of mobile communication in place. While it is intuitive and reliable, text messaging can pose serious litigation and reputation risks if employees are conducting business conversations without clear policies and supervision. Read this guide to understand the ways companies are exposed to risk through texting and how you can reap the benefits of text message archiving with implementation of smart policies and solutions.

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Smarsh Electronic Communications Compliance Survey Report

Against the backdrop of political shifts in Washington and growing popular distrust of “big finance,” the seventh annual Smarsh survey of compliance professionals in the financial services industry reveals that the electronic communications compliance landscape has become broader, more complex and more scrutinized.

More firms are finding that gaps in retention and supervision programs have consequences. Examinations have become more comprehensive, with regulators focusing in particular on supervision processes. FINRA reported 99 books and records cases in 2016, resulting in $22.5million in fines. Compared to 2015, that represents a 423% increase in fines. Download our whitepaper to learn how you can protect your company!

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Key Issues for E-Discovery and Legal Compliance

Good electronic discovery (eDiscovery) practices and the technologies that support them are an essential best practice for any organization because they:

  • Enable organizations to preserve content, place content on litigation hold, and prevent this information from being deleted prematurely.
  • Enable the retention, protection, search and production of relevant content in support of an organization’s litigation efforts.
  • Minimize risk by significantly reducing the likelihood that an organization cannot satisfy a court or regulator request for information in the appropriate form and timeframe. Without good eDiscovery, organizations that encounter court orders or regulatory obligations to produce information run the risk of sanctions, fines or other penalties.
  • Allow organizations to index, classify, search for and produce business records and other information for reasons other than an eDiscovery order. Records may be used to satisfy a regulatory requirement to produce information, help managers perform an early case assessment, or gather information for a Freedom of Information Act (FOIA) request.

Implementing best practices around eDiscovery should be a high priority for every organization. Download our whitepaper to learn more!

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The Chief Risk Officer and the Dreadful, Horrid, Inefficient, Very Bad Day

These days, it's not enough for your organization to simply manage risk after the fact. You must spot it as soon as it happens to prevent it from spiraling out of control. Despite the increased organizational focus on broad risk-management issues, many companies still lack best practices and technology solutions to deal with one facet of business that inherently carries high levels of risk: the many flavors of electronic communications shared internally and externally with colleagues, clients, prospects, business partners, third-party vendors, and even the general public. Getting a good handle on supervision of your company's electronic communications data can help you realize more effective risk detection, mitigation, and management in the long run. Download our whitepaper to learn more!

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Public Safety Departments & Text Messaging – Simplify Public Records with Policies and Procedures

Prior to fully embracing SMS/text messaging, organizations need to assess how and why their employees want to use text communications, develop and communicate use policies, and ensure all information sent via text can be retained and archived. Remember, any communication sent or received by government organizations—including public safety departments and their employees—is subject to open records requests.

In this report, we examine how public safety agencies can create policies that allow for compliant use of SMS/text messaging, and how to retain and archive those communications for a more efficient response to open records requests.

Read our guide to learn:

  • How other public safety departments are using text messaging
  • What you need to consider for public record requests
  • What to consider when building your communications policy
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5 Actions to take for an Airtight Mobile Use Strategy in Government

Text messaging is an immediate and simple way of communicating, so many government employees prefer it over email or other traditional methods. However, FOIA laws require all electronic communications used for business to be archived and available for public record requests. It doesn’t matter whether an employee uses his/her personal or government-issued cell phone, both are fair game.

In this guide we’ll show how public sector organizations can build an airtight mobile strategy. Learn about device scenarios, policy creation, mobile device management, and the archiving process.

Read our guide to learn:

  • Device ownership scenarios – advantages and disadvantages
  • Key questions to answer for an airtight policy
  • How to retain & report text message content
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The Financial Advisor’s Guide to Social Media Strategy and Policy

The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recognize social media’s growing role in firms’ marketing and communications strategies, and have provided guidance on extending compliance programs for this dynamic channel.

This guide contains practical steps that will help you develop a social media strategy and policy that meets social media recordkeeping and supervision regulatory requirements, while gaining maximum business value from your social efforts. With smart compliance practices and supporting technology, you can be prepared to present your social media records and evidence of your supervisory procedures in the event of a regulatory request or exam.

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3 Ways Text Messaging Exposes Financial Services Firms to Massive Risk

While 97% of Americans with a smartphone use them to send texts, many organizations don’t have any supervision or management of mobile communication in place. While it is intuitive and reliable, text messaging can pose serious litigation and reputation risks if employees are conducting business conversations without clear policies and supervision. Read this guide to understand the ways companies are exposed to risk through texting and how you can reap the benefits of text message archiving with implementation of smart policies and solutions.

Get Whitepaper