SEC Focus on Communication Compliance 

One of the newest priorities of the SEC is the Communication Compliance.

The way employees communicate with one another has been profoundly changed by the advancements in digital communication technologies. Modern communication tools like Zoom, Microsoft Teams, and Cisco WebEx were the first to be adopted by organizations in remote collaboration after the Covid-19 pandemic. It also saw a significant increase in secure instant message solutions like WhatsApp, Signal, Signal, Telegram, and Signal for work-related communications.

SEC, FINRA, and other regulatory agencies have taken action to address the extraordinary growth in digital communication technologies within regulated companies. Regulators expected registered companies to adhere to the new digital communication technologies by expanding existing efforts.

Today’s digital communication technologies have forced regulatory bodies to amend their existing compliance rules. They have drafted new sets of regulations to accommodate hybrid working models. The SEC, for example, wants registered firms to follow new digital communication technologies, such as SMS mobile archiving and call archiving. In the meantime, Texas 944 text message bill aims to restore public trust in the Open Records Law. These new rules will help companies protect their customers, employees, and information.

In addition to these regulations, the SEC will be focusing on record-keeping practices related to business communications and personal messaging applications. These will likely be the focus of formal enforcement investigations and whistleblower claims. Firms should assess their record-keeping practices and adapt compliance programs based on recent enforcement actions and agency guidance lessons. It can help them avoid regulatory action in the future. If you are concerned about the impact of this new focus, don’t worry. It will only make your company more profitable.

To keep your firm and your customers’ information safe, ensure that all electronic messages are encrypted. Check your firm’s compliance policies and alerts for errors and other violations.

Furthermore, to prolong with SEC regulations, companies should evaluate their practices and technologies to comply with their new legislation.

To learn more about communication compliance and how to conform with these regulations, check out TeleMessage’s infographic below:


sec communication compliance

Jeffrey Ackley
the authorJeffrey Ackley
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