How the Arctera Unified Platform Works

Govern communications end-to-end within a single system, from capture through supervision and discovery, with complete context preserved.
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How the Platform Applies to Real Governance Scenarios

The platform operates as a unified system and is applied based on regulatory requirements, risk areas, and operational needs. These scenarios reflect how compliance, legal, and risk teams govern communications in practice, from maintaining visibility and applying policy controls to detecting risk and responding to audits and investigations.

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Govern Communications Where Work Happens
Capture communications from collaboration, messaging, trading, voice, and AI systems at the point of creation. Preserve content, metadata, and participants to maintain complete visibility across channels.
Apply Governance Consistently Across Communications
Apply classification, retention, and supervision policies using a unified data model. Standardize policy enforcement and maintain auditability across communication types.
Detect and Address Conduct Risk
Evaluate communications continuously using policy-driven rules and contextual signals. Generate alerts and support prioritization, review, and escalation workflows.
Act Under Regulatory and Legal Scrutiny
Preserve communications with full context and reconstruct interactions across channels. Support search, review, and export for audits, investigations, and regulatory requests.
Operate Governance as a Unified System
Align capture, classification, supervision, retention, and discovery within a single system. Maintain consistent policies, data access, and oversight across teams.
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End-to-End Platform Workflow

The platform operates as a continuous workflow that ingests, stores, processes, and evaluates enterprise communications and data within a single system.

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Capture Communications at the Source

The Arctera Unified Platform captures communications from source systems using API connectors, journaling, and ingestion pipelines. It ingests collaboration, messaging, financial, voice, and file data at the point of creation or delivery, preserving content, metadata, attachments, and user context.

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Normalize and Enrich Communications Data

Communications are normalized into a unified data model that standardizes formats across sources. Metadata and identity resolution align users, timestamps, and attributes, preparing communications for consistent classification, supervision, and correlation.

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Archive Communications with Defensible Retention

Communications are written to a centralized archive that preserves content, metadata, and relationships between messages. Retention policies are applied at or near ingestion based on classification and regulatory requirements, establishing an auditable system of record.

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Supervise Communications for Risk and Conduct

Communications are evaluated using policy-driven supervision rules to identify potential conduct risks and regulatory violations. Alerts are generated based on defined criteria, with workflows supporting review, prioritization, escalation, and documentation.

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Reconstruct Conversations for Investigation and Discovery

Communications are correlated across channels using shared metadata and timelines. This enables reconstruction of conversations for investigation, audit, and discovery, with search, hold, and export performed without re-collection.

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Unified Communications Data Architecture

A shared data foundation that preserves, standardizes, and correlates communications across systems for consistent governance.

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Maintain a Single, Defensible Record of Communications

Communications are captured and stored in a centralized archive with content, metadata, participants, and relationships preserved at ingestion. This creates a single system of record that supports supervision, retention, and discovery without moving or recreating data across systems.

Apply Governance Consistently Across Communication Sources

Communications are normalized into a unified data model that standardizes structure across platforms. Metadata and identity resolution align users, timestamps, and attributes, allowing classification, retention, and supervision policies to be applied consistently regardless of source.

Reconstruct Conversations Across Channels

Communications are correlated across channels using shared metadata and timelines, enabling reconstruction of conversations across tools. This allows teams to review interactions in full context for supervision, investigation, and discovery without duplicating or reprocessing data.

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Communications Sources Captured by the Platform

The platform ingests communications across enterprise systems, preserving content, metadata, and context at the point of creation for governance, surveillance, and ediscovery workflows.

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Collaboration & Unified Communications

Capture conversations, meetings, and collaboration activity across unified communication platforms. Preserve message content, participants, and interaction context for supervision and audit.

Email & Storage

Capture email and stored content with full structure and metadata for retention and regulatory compliance.

File Sharing

Capture documents and file activity across content and file-sharing systems, including versioning and embedded communications.

Financial Messaging Platforms

Ingest structured communications from financial systems. Support supervision, audit, and regulatory reporting for market and trading activity.

Mobile, Social, and Messaging Channels

Capture communications across mobile and social channels to extend governance beyond core enterprise systems.

AI Communications

Capture prompts and responses from AI tools. Govern AI-assisted interactions alongside traditional communication channels.

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Security and Compliance Controls

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Data Security and Encryption
Communications are encrypted in transit using TLS 1.3+ and at rest using AES-256 encryption, with unique encryption keys assigned per customer. Immutable retention controls, including WORM enforcement, prevent data from being altered or deleted before policy-defined periods.
Access Controls and Identity Management
Access is controlled using role-based access controls (RBAC) and SAML 2.0-based single sign-on, with support for multi-factor authentication. Network controls such as IP allowlisting and VPN access restrict entry, and all access activity is logged for audit and forensic analysis.
Secure Development and Operations
The platform is developed using secure-by-design practices, including code review, security testing, and vulnerability assessment throughout the development process. Independent penetration testing and defined incident response processes support detection, containment, and remediation.
Auditability and Monitoring
All communications, access events, and policy actions are tracked through centralized logging with retained audit history. Continuous monitoring, intrusion detection, and alerting identify abnormal activity, with events reviewed by 24/7 operations teams.
Resiliency and Data Protection
Data is replicated using locally redundant storage (LRS) and geo-redundant storage (GRS) across geographically separated regions. Continuous monitoring and defined failover processes support availability, disaster recovery, and data sovereignty requirements.
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Compliance, Certifications, and Regulatory Alignment

The platform supports compliance with global regulatory frameworks and industry standards, enabling consistent governance across jurisdictions. It applies consistent for surveillance, retention, audit, and discovery across regulated environments.

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Certifications and Independent Validation
Platform controls are validated through independent certifications and third-party testing. These include SOC 2 Type II, CREST-aligned security testing, and vendor risk frameworks such as Hellios used for enterprise procurement and assessment.

Regulatory Environment Alignment
The platform is used by organizations operating under regulatory frameworks across global markets. This includes FINRA, SEC, FCA, ESMA, APRA, MAS, and other regional authorities with requirements for recordkeeping, supervision, and audit.
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Frequently Asked Questions

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How does Arctera capture communications from different systems?
The platform captures communications directly from source systems using API-based connectors, journaling, and ingestion pipelines. This includes collaboration platforms, messaging systems, financial tools, voice channels, and file repositories. Communications are captured at the point of creation or delivery, preserving content, metadata, and user context without relying on end-user actions or after-the-fact collection.
How quickly are communications available after capture?
Communications are captured and processed at or near the point of creation or delivery, depending on the source system. Once ingested, they are immediately available for supervision, retention, and discovery workflows without additional collection or processing.
Does the platform require re-collecting data for investigations or discovery?
No. Communications are captured and preserved at ingestion, allowing teams to search, review, and export data directly from the platform. This eliminates re-collection, reduces delays, and preserves data integrity.
What is the unified data model and why does it matter?
The unified data model standardizes communications across sources into a consistent structure, preserving content, metadata, and relationships. This allows supervision, retention, and discovery workflows to operate on the same data without duplication or transformation.
How are conversations reconstructed across channels?
The platform correlates communications using metadata such as participants, timestamps, and conversation identifiers. This enables reconstruction of conversations across tools, allowing interactions to be reviewed in full context.
Does the platform capture deleted or edited messages?
Communications are captured at the point of creation or delivery, preserving original content and metadata. Where supported by the source system, edits and deletions are also captured, ensuring a complete and auditable record.
How does the platform support defensible retention and deletion?
Retention and deletion policies are applied based on classification and regulatory requirements. Communications are stored with immutable controls and full auditability, ensuring records are retained and deleted in a defensible manner.
How does the platform support surveillance and conduct risk monitoring?
The platform evaluates communications using policy-driven supervision rules to identify potential risks. Alerts are generated and routed through structured workflows for review, prioritization, and escalation.
How does the platform support regulatory compliance across regions?
The platform supports organizations operating under global regulatory frameworks by aligning governance workflows to requirements for supervision, retention, audit, and discovery, supported by certifications and independent validation.
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See How Arctera Unified Platform Works in Your Environment

Request a walkthrough of how the platform captures, governs, and reconstructs communications across your systems and regulatory requirements.

Request a Demo

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