Compliance for Regulated Financial Services
Why Communications Compliance Is a Growing Risk for Financial Services
Financial institutions communicate across more channels than ever—email, messaging, collaboration platforms, and mobile devices. As communication expands, maintaining consistent supervision, retention, and oversight becomes increasingly complex.
Without unified governance, firms face regulatory findings, enforcement actions, and escalating compliance costs—often driven by unmanaged or poorly supervised communications.
63% of compliance teams
Struggle to govern communications consistently across channels
Over $2B in enforcement fines
Linked to communications compliance failures
Nearly 50% of critical business communications
Occur outside traditional, easily supervised channels
When Evidence Falls Short, Risk Increases
Investigations are defining moments. Whether responding to a regulator, court, or internal inquiry, organizations must clearly demonstrate what happened, who was involved, and how decisions were made.
When evidence is incomplete or difficult to explain, investigations stall, costs rise, and credibility erodes—precisely when confidence matters most.
A Clear Approach to Communications Compliance in Financial Services
From fragmented oversight to confident compliance
Govern Every Channel
Apply consistent policies across email, chat, voice, and collaboration tools.
Retain What Matters
Apply retention rules that stand up to regulatory exams and investigations.
Supervise with Certainty
Enable effective, risk-based supervision at scale.
Respond Faster
Access complete, contextual records when regulators come calling.
Detect Issues Early
Surface conduct and compliance risk before it escalates.
Be Audit-Ready
Demonstrate compliance without disruption.
Built for Financial Institutions Where Compliance Can’t Fail
Highly Regulated by Design
Built to meet strict financial-services regulatory and supervisory requirements.
Aligned to Regulatory Change
Adapt quickly as rules, guidance, and expectations evolve.
Built to Scale with Communication Complexity
Govern growing data volumes without adding operational burden.
Proven Under Scrutiny
Trusted to support exams, investigations, and enforcement actions.
One Unified Platform for Financial Services Communications Compliance
Recognized as a Leader
October 2025
Arctera Named a Leader in the 2025 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 Financial Institutions Strengthen Communications Compliance
Bring Clarity and Confidence to Financial Services Compliance
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