How to Prove that FINRA Registered Employees are NOT using Zoom Chat
Summary
The Compliance team may then reach out to the employee and remind them of the supervisory policy that excludes the use of the chat feature. Whether Zoom, Microsoft Teams, Salesforce Slack, Cisco Webex, Fuze or other on-line collaboration platform, each has a complex set of features and functionality. It is important to recognize that these collaborative platforms are competing for market share and features are introduced without addressing regulatory or compliance concerns. “Thankfully,” offers Douglas Weeden, Director of Compliance Services, “these platforms have emerged during the past two years and have allowed us, during Covid, to interact with our clients and colleagues. However, they continue to evolve with new features and capture capabilities and one of the services we provide to our clients to is keep their compliance and IT teams up to date with changes that may impact the retention of regulatory content.”