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How to Build your Video Conferencing Supervision Strategy


Photo of videoconference among business colleagues
Image: Mongkolchon -

The strategic business use of video conferencing is changing and personalizing how FinServ firms communicate with customers. Concurrently it’s important to proactively address the regulatory, data loss, and compliance implications, especially with FINRA’s recent guidance.
“[i]f a firm permits its associated persons to use a particular application—for example, an app-based messaging service or a collaboration platform—the firm must preserve records of business-related communications and supervise the activities.”
However, many firms don’t have a program or means to monitor video conferencing.
This guide discusses:
  • Understanding the potential risks of unsupervised video communications
  • 5 steps to expand your own compliance plan to incorporate recording and archiving video conferences
  • How to establish a review plan and process for video recordings
  • Considerations when choosing the right compliance vendor