Arctera, Data Compliance
Why Most Investigations Start Too Late
By the time most matters formally begin, scope has already expanded.
Shilo Thomas
Product and Solutions Marketing, Data Compliance
Compliance Regulated Financial Services
Supervising advisor and client communications in real time — without slowing your organization down.
Why communications compliance is a growing risk for financial services
Financial services firms face strict regulatory obligations to capture, supervise, and retain employee and client communications under regulations enforced by the SEC, FINRA, FCA, and other global regulators. These requirements extend beyond email to include mobile messaging, collaboration platforms, and off-channel communications.
Recent enforcement actions have made it clear that supervision gaps, recordkeeping failures, and unmanaged communication channels expose broker-dealers and investment advisers to significant financial penalties and reputational risk.
Arctera enables financial services organizations to meet these obligations with confidence — providing defensible capture, compliant retention, proactive surveillance, and rapid discovery to support examinations, investigations, and ongoing supervision.
63% of compliance teams
report they are not monitoring messaging apps, creating supervision blind spots critical to broker-dealer risk programs.
Over $2 billion in enforcement fines
have been levied against financial firms for recordkeeping and supervision failures tied to communications.
Nearly 50% of critical business
still flow through email — a recordkeeping channel that must be governed and produced defensibly during audits.
Why communications compliance matters
Regulators expect continuous supervision, auditable retention and rapid production of communications. Supervision failures, unmanaged off-channel messaging, or incomplete records increase the likelihood of enforcement action, costly remediation, and reputational damage. Financial services firms need a defensible, auditable approach that scales as channels and workflows evolve.
A Clear Approach to Communications Compliance in Financial Services
A solutions-focused approach to governing regulated financial communications across modern environments
Multi-Channel Governance
Capture and apply consistent policies across email, voice, SMS, chat and collaboration tools — including sanctioned and off-channel sources.
Defensible Retention
Tamper-resistant, policy-driven retention aligned with SEC 17a-4 and other recordkeeping rules — searchable and audit-ready.
Supervisory Confidence
Proactive surveillance and workflow escalation to detect sales-practice issues, insider trading patterns, or misconduct ahead of exams.
Investigation Readiness
Fast, targeted discovery to respond to regulator requests, internal investigations and eDiscovery with complete, defensible sets.
Risk Awareness
Analytics and trend reporting to surface recurring conduct issues and measure program effectiveness across business lines.
Audit Preparedness
Clear policies, immutable records and evidence trails that simplify examinations and demonstrate effective controls.
Built for organizations where compliance can’t fail
Communications compliance requires scale, consistency, and defensibility across the enterprise.
Highly Regulated by Design
Built to support financial institutions operating under strict regulatory, supervisory, and recordkeeping requirements.
Aligned to Regulatory Change
Helps organizations adapt as regulations, guidance, and enforcement priorities evolve globally.
Built to Scale with Communication Complexity
Supports governance across expanding channels, distributed teams, and geographies without added operational burden.
Proven Under Scrutiny
Trusted to support audits, examinations, investigations, and regulatory inquiries when it matters most.
Explore communications compliance products
Arctera offers a portfolio of compliance solutions designed to support governance, supervision, retention, and investigation readiness across modern communication environments.
Insight Surveillance
End-to-end communications surveillance tuned for financial services — flag patterns of misconduct, suspicious trading chatter, and sales-practice risk.
Insight Capture
Capture from 120+ fintech and market data sources, collaboration platforms and messaging apps to ensure comprehensive, regulator-grade archives.
Insight eDiscovery
Rapid search, review and production workflows for regulator requests, litigation holds and internal probes — reduce time to produce and scope.
Data Insight
Risk analytics and program metrics that correlate communications signals to compliance outcomes and supervision effectiveness.
Arctera Named a Leader in the Gartner® Magic Quadrant™ for DCGA Solutions
Recognized by Gartner as a Leader and ranked #1 in 2 Use Cases for Digital Communications Governance and Archiving (DCGA) Solutions.
How organizations strengthen communications compliance
Establish consistent governance across regulated communication channels
Reduce reliance on manual review through AI-assisted surveillance.
Improve readiness for audits, examinations and enforcement requests.
Maintain defensible records as tools and channels evolve.
Bring clarity and confidence to communications compliance
Learn how financial services organizations are simplifying compliance across regulated communications.
Read Our Compliance Blogs
Arctera, Data Compliance
Proving Governance in Modern Compliance
Once communications are captured and retention decisions are made, a different set of questions begins.
Shilo Thomas
Product and Solutions Marketing, Data Compliance
Arctera, Data Compliance
What US $2B in Off-Channel Fines Really Signals
More than US$2 billion in enforcement actions have hit the books recently, all tied to off-channel communications. At first glance, these cases seem to be about employees using personal messaging apps, but that’s not really the story.
Shilo Thomas
Product and Solutions Marketing, Data Compliance
Ready to get in touch?
Analyst Reports
Recognized by IDC and Radicati Group
Named as a leader in IDC MarketScape and Top Player in 2025 Radicati Market Quadrant.
