AI TOOL PROFILE
Comma Compliance: Communication Compliance Software
- Legal
- Compliance Management
- Financial Services Companies
- Brokerage Firms
- Investment Firms
- Compliance Officers
Pricing
Pricing is $33 per user per month for organizations with fewer than 250 people. Enterprise pricing is available for larger firms.
At a glance
- Best for
- Financial Services Companies, Brokerage Firms, Investment Firms, Compliance Officers
- Key use cases
- Off-Channel Communication Archiving, Regulatory Violation Monitoring, Exam Preparation, Employee Privacy Management
- Integrations
- iMessage, WhatsApp, Signal, LinkedIn Messaging, Gmail
- Official website
- Visit Comma Compliance official website
How AI is used
Comma Compliance is a communication archiving and monitoring platform designed for firms regulated by the SEC and FINRA. It captures messages from various channels, including iMessage, WhatsApp, Signal, and LinkedIn, and stores them in immutable archives.
The software is intended for financial services companies, brokerage firms, and investment firms that need to maintain a record of business communications. It includes filtering to distinguish between business and personal contacts, which may help maintain employee privacy.
Beyond archiving, the software supports real-time policy matching to flag potential regulatory breaches as they occur. Compliance officers can use case management workflows to organize these flagged items for internal reviews or regulatory examinations.
Buyers should confirm if the open-source nature of certain capture modules fits their security protocols and verify how the platform integrates with their specific device management policies.
Key Features
Multi-Channel Archiving
Supports capturing and storing communications from over 30 channels, including iMessage, WhatsApp, Signal, and Bloomberg Chat.
Business-Personal Contact Filtering
Uses AI to distinguish between business and personal contacts so only business-related communications are archived.
Real-Time Policy Matching
Scans messages as they are sent and flags potential internal policy or regulatory violations for review.
Case Management Workflows
Provides tools to organize and manage flagged messages and communication threads for regulatory exams.
WORM-Compliant Storage
Stores data in an immutable format with a standard 7-year retention period.
Open-Source Capture Modules
Provides public source code on GitHub for WhatsApp and Signal capture logic.
Use Cases
Off-Channel Communication Archiving
Capturing business threads and attachments from apps like WhatsApp and Signal for SEC/FINRA recordkeeping.
Regulatory Violation Monitoring
Using real-time scanning to identify messages that may violate financial industry regulations.
Exam Preparation
Using case management workflows to organize archived content for regulatory audits.
Employee Privacy Management
Filtering out personal messages from business archives when employees use personal devices for work.
Integrations
- iMessage
- Signal
- LinkedIn Messaging
- Gmail
- Google Workspace
- Microsoft 365
- Microsoft Teams
- Bloomberg Chat
- Slack
- Salesforce
- Zoom
- X (formerly Twitter)
- Telegram
FAQ
Does Comma Compliance archive personal messages?
- The platform is designed to use AI filtering to distinguish between business and personal contacts, archiving only business-related communications.
Which regulatory standards does this software support?
- It is built for SEC and FINRA frameworks, including requirements under SEC Rule 17a-4 and FINRA Rule 3110.
How much does Comma Compliance cost?
- For organizations under 250 people, the price is $33 per user per month. Firms with over 250 people should contact the vendor for enterprise pricing.
How long is the data retained?
- Business communications are retained for 7 years, which supports SEC and FINRA data retention requirements.
Source category: Legal
Source subcategory: Compliance Management
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