Regulatory risk. Off-channel messaging.

Exam-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

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.

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, contacts, and policies — connect all related context and assign a status to stay organized
  • Log resolution and archive securely — document 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 exams, and real-time risk - all at once.

Comma helps you move from scattered evidence to a structured response.

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

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

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

Closed cases with resolution, owner, and time stamps

Explore what else Comma can do

Built end-to-end for regulated communications

See what exam-ready looks like.

Book a 20-minute demo and we'll show you how compliance teams close cases faster — and defend them when regulators ask.