Solutions / By firm / Broker-dealers
Texting your home office can approve.
Capture every call and text on firm-controlled numbers, set policy once for every office, and deliver it all to the archiver your supervision team already uses.
Sound familiar?
Off-channel texting is a fine waiting to happen.
Reps get a business line on the phone they already carry, and every message is captured on a number the firm controls.
Every office does it differently.
Set policy once at the network level. Every office inherits it, and reps can't switch it off.
Vendor reviews take months.
A SOC 2 Type 2 report, a Reg S-P commitment, and a diligence packet are ready before you ask.
What you'll use
The parts of CurrentClient that matter most here. Every one is archived and synced to your CRM.
Policy set once for every office
Set policy at the network level. Every office inherits it, and advisors can't switch it off.
Compliance →Delivered to the archiver you already use
Calls, texts, voicemails, and transcripts flow to Smarsh, Global Relay, Hadrius, RIA Comp Tech, and more.
Compliance →Firm-controlled numbers
Client conversations happen on a number the firm controls, not on a personal cell.
Compliance →Five-year retention with receipts
Five years of history kept on our side, plus a receipt for every record delivered to your archiver.
Compliance →Opt-in and unsubscribe tracking
Opt-ins and STOP requests are tracked for you, so every text stays on the right side of the TCPA.
Texting →SOC 2 Type 2 and MFA
An audited SOC 2 Type 2 report, multi-factor authentication for every user, and a vendor diligence packet ready for review.
Compliance →The rules you'll ask about
Where CurrentClient fits in your program. We capture; your archiver retains; your supervision program reviews.
- SEC Rule 17a-4
- Retention of communications sent and received, delivered to your archiver for storage in the format your program requires.
- FINRA Rules 3110 and 4511
- Supervision and books and records. We capture, your archiver retains, your supervision program reviews.
- Regulation S-P
- Customer data protection, including 72-hour breach notification from service providers.
Dually registered?
Hybrid firms answer to both rulebooks. We'll walk through how capture and retention map to each side of your program.
CurrentClient supports, and does not replace, your firm's recordkeeping and supervision obligations. Our reports, policies, and commitments are in the vendor diligence packet.
“Our team can text and call clients confidently knowing everything is captured and synced back to the CRM.”
Matthew ReakusSound Wealth Financial GroupTexting your home office can approve.
Capture every call and text on firm-controlled numbers, set policy once for every office, and deliver it all to the archiver your supervision team already uses.