Email management virtual assistant for financial advisors & wealth firms

What rules does email management follow for advisors?

1. GLBA Safeguards Rule and Regulation S-P. Client nonpublic personal information is handled under your written information security program: least-privilege access, MFA, managed devices, no local storage and no data outside your systems, consistent with the FTC's Safeguards Rule (16 CFR Part 314) and the SEC's Regulation S-P for registered advisers.
2. No licensed advice, no money movement. Assistants never give investment, tax or insurance advice, quote performance, recommend products or execute transactions. Money movement requests are captured and routed to licensed staff for verification under your policy and the rules of the SEC, FINRA and your state regulator.
3. Books and records and supervision. Every client email, text and call runs through your archived and supervised channels, consistent with Advisers Act Rule 204-2 and FINRA Rules 3110 and 4511. Assistants never contact clients from personal phones or unarchived apps.
4. Recording notices and the Marketing Rule. Calls carry a recording notice in two-party consent states such as California and Florida. Social posts, testimonials and seminar materials go through your compliance pre-approval under the SEC Marketing Rule (206(4)-1) and FINRA Rule 2210.