Compliance can’t live in a separate system. Digital Message Surveillance unifies surveillance of email, text, social, and in‑app messages with account and trading context. Allowing reviewers to see the whole picture, not just the words.
By combining communication data with account activity, firms gain richer insights and faster decision‑making. This reduces regulatory exposure and enhances reviewer efficiency. The result is a more comprehensive and defensible compliance process.
Compliance Advantages:
Customize lexicons, filters, and dashboards by jurisdiction, business unit, or case status
Use extensive, configurable tests aligned to SEC/FINRA/17a‑4 requirements
Archive, query, and retrieve messages with complete audit trails and export options
Review communications alongside advisors, account, trade, and CRM data for faster decisions
Onboard quickly with historical message import and connected case workflows
