First, look up your firm’s Business Continuity Plan.
Be sure you’re following the written policy and any written guidance provided by your supervisor or home office compliance.
Ensure your communications are properly monitored.
Once you’re sure that you’re in line with the written BCP, consider whether or not your firm has an internet phone service, and, if so, use it to its fullest potential.
Can you call out on a work line through your mobile phone? If so, use that feature when working from home. If you have an app that allows your firm to capture your texts, use that.
If you are not set up for text surveillance, don’t text or respond to texts from your personal phone. Clients may know you are working remotely and may reach out through methods, such as personal email or texts to your personal mobile phone. Always be sure to respond from the appropriate account and device.
Call Us, We can help
This blog is our ongoing effort to inform and educate FINRA licensed professionals about the evolving regulatory ecosystem in which we operate.