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Personal mobile phones can easily compromise the attorney-client privilege, especially when communication happens over unsecured channels. In this article, we’ll help you navigate the hidden risks and ethical obligations of mobile communication.

In January 2025, the U.S. Securities and Exchange Commission (SEC) fined twelve investment advisers and broker-dealers for recordkeeping violations.The good news? You can protect your firm from such incidents using a financial compliance line like iPlum’s

6 in 10 people prefer texting over calling. Financial professionals are no different. But what started as a quick, easy way to stay in touch with clients has turned into a serious compliance concern for brokers, advisors, and other players in the financial industry.

WORM applies to texts and call recording. In this article, however, we'll focus on WORM-compliant texting.