Best Practice Reminder: Using Business-Related Electronic Communications

With so many forms of communication, it’s easy to jot off a quick instant message to friends, families — and customers. While instant messaging is an effective way to communicate lunch plans, it shouldn’t be used for business-related communications.

As a best practice, remember that all business-related electronic communication needs to be conducted on your business email accounts, not via personal text message (including iMessage, WhatsApp or others).

Business-related communications include any investment-related advice, negotiation, or execution, as well as internal-only communications about firm business or personnel. Purely administrative or personal communications, for example: “running late,” “are you free,” or “can you call me?” are still acceptable uses of personal text messaging.
 

What to do when you receive business content on personal texts

If you receive a text message that contains a business-related communication, please respond to the sender and advise that you will reply by business email.

Note: Your sales organization may have business-related electronic communication policies and procedures regarding the use and retention of text messaging. Be sure to check with your back office for compliance requirements.

Conducting business communications outside of your business email accounts could expose you to administrative and civil actions and penalties by the U.S. Securities and Exchange Commission and other regulators.
 

Questions or concerns?

If you have any questions on this information, please contact Legal or Compliance at Athene.Securities@athene.com.