Keep every outbound message fair, balanced, and defensible. We help broker-dealers and advisory firms review, track, and evidence electronic communications at scale.
Enforcement is getting sharper and more frequent. When supervision doesn’t scale with volume, gaps show up quickly and regulators tend to find them first.
fined to a single firm for failing to monitor off-channel communications
in FINRA fines in a single year
disciplinary actions taken by FINRA in 2025
We build a daily review engine that captures, filters, assigns, and escalates communications without slowing your business down.
We capture and retain employee communications including attachments directly from your existing platforms such as Compliance Accelerator and Global Relay.
We work with your compliance team to build and refine keyword libraries that surface high-risk or non-compliant language patterns. Keyword sets evolve continuously based on review outcomes, emerging risks, and regulatory expectations.
Emails are flagged based on keyword triggers and random sampling logic. Flagged communications are routed to designated reviewers through structured queues.
Reviewers assess communications daily against FINRA Rule 2210 standards and your firm’s internal policies.
Suspicious or non-compliant communications are escalated to your compliance team with clear documentation and audit trails.
Every review, escalation, and resolution is documented and retained in line with broker-dealer and advisory regulatory requirements.
Stronger supervision and structured communication review means compliance consistency and reduced business risk.
Clear visibility into employee communications across channels
Faster identification and escalation of risky or misleading content
Reduced regulatory exposure and audit stress
Stronger supervision frameworks aligned with FINRA expectations
Documented audit trails that stand up to scrutiny
Scalable review processes without increasing internal headcount
Broker-dealers
Investment advisory firms
Private equity and wealth management firms
Capital markets and trading firms
Asset management companies
Our specialists build supervision systems that regulators respect and teams actually use.
Talk to our FINRA compliance specialistsBuild a review system that keeps pace with your business and stands up to regulatory scrutiny.
Book a FINRA compliance consultation