Regulatory risk.
Off-channel messaging.
Cue: Audit Panic.
Audit-Ready Case Management for Regulatory Risk
Comma Compliance gives compliance teams the structure & visibility you need.
No spreadsheets required.
Scattered Screenshots Aren’t a Strategy
CC replaces the chaos with a single, review-ready record.
One Click.
One Record.
Total Control.
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Instantly open a case
Open a case the moment a message is flagged.
Link evidence, contacts, and policies
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Log resolution and archive securely
Document resolution, internal actions, and export a clean audit file when you're ready.
Built for the Work You Actually Do
As a compliance officer, you're managing internal reviews, external audits, and real-time risk — all at once.
Comma helps you move from scattered evidence to a structured response.
Every Case Includes:
- Complete Message Retention
- Linked timeline and evidence
- Context for internal or external review
- A final resolution log, from policy update to training notice
We replace the chaos with a single, review-ready record.
Our smart AI-driven matching engine automates compliance checks, so case handlers focus on exceptions, not bulk reviews.
Always Audit-Ready
Whether you're briefing your CEO or responding to FINRA or the SEC, Comma Compliance delivers the full case file—complete with timestamps, message history, review notes, and a resolution trail.
Everything you need, ready when it matters.
No scrambling. No formatting. Just one clean, exportable record.
