FEBRUARY 5th IS HERE!
EverSafe can help you implement the “Trusted Contact” rule. Are you a Broker-Dealer or a registered representative of a brokerage firm?
As of February 5th, FINRA (the Financial Industry Regulatory Authority) Rules 4512 and 2165 require broker dealers, upon the opening of an account and routine and customary updating process, to take reasonable steps to obtain the name of a “Trusted Contact” who may be contacted regarding suspicious activity related to the client’s account(s).
EverSafe’s exclusive Trusted Advocate feature makes it easy. We have Trusted Contact forms we can share, and assist in reaching Trusted Contacts to ensure they are notified. We can add fraud monitoring, with alerts to Trusted Contacts, if requested.
Please email TrustedContact@EverSafe.com
or call 1-888-575-3837 if you are interested or have questions.