Comma Compliance

From Scattered Screenshots to Defensible Case Files

Exam-Ready Case Management for Regulatory Risk. Comma Compliance delivers the structure & visibility compliance teams need.
No spreadsheets required.

Scattered Screenshots Aren't a Strategy

Managing compliance cases through screenshots and shared spreadsheets is slow, risky, and hard to defend during exams.

Comma Compliance replaces the chaos with a single, review-ready record.

Book a Demo
Screenshot of SEC compliance case management dashboard with status, resolution, and owner info

One Click. One Record. Total Control.

  • Instantly open a case — the moment a message is flagged
  • Link evidence, custodians, and policies — connect all related context and assign a status to stay organized
  • Log resolution and archive securely — document internal actions and export a complete audit trail when you're ready

Built for the Work You Actually Do

As a compliance officer, you’re running surveillance across the firm, managing internal reviews, and responding to external exams — all at once.

Comma organizes scattered evidence into a structured, exam-ready response.

TCC Case Dashboard for open and closed cases. Includes title, status, resolutions, timestamps, and search options.

Open and closed cases, with resolution notes, owners, and timestamps.

What’s in Every Case File

Case handlers focus on exceptions, not bulk reviews. Policy matching surfaces what matters.

  • Complete message retention: immutable, tamper-proof records from the moment of capture
  • Linked timeline and evidence
  • Context for supervisory review or external exam response
  • A final resolution log, from policy update to training notice

See what exam-ready looks like.

Book a 20-minute demo and we'll show you how compliance teams close cases with a complete, exportable audit trail, producible on demand when regulators ask.

Get in Touch Pricing

Explore what else Comma can do

Built end-to-end for regulated communications

Messaging Archival

40+ channels captured automatically. Business messages separated from personal, nothing missed.

See archiving →

Policy Matching

Real-time flagging of the messages that matter, before they become a compliance liability.

See policy matching →

Encrypted Messaging Compliance

Why mobile channels are where exam risk lives, and what compliant capture actually requires.

Read more →

Aligned with the standards your examiners ask about

  • SEC 17a-4 WORM archive
  • SEC 17a-3 Supervision
  • FINRA 3110 Review & retention
  • FINRA Reg S-P Books & records
  • MiFID II EU comms recording
  • GDPR Data protection
  • FCA SYSC 10A UK taping
  • CIRO 3800 Canadian records
  • SFC Hong Kong
  • MAS SF(LCB)R SG 5-year order records
  • ASIC Australian financial
  • CASL Consent archiving