Start with the channels your people use
Client relationships span email, messaging apps, calls, meetings and business systems. An archive strategy starts with that inventory, including the channels that are difficult to capture and the records available from each source.
Comma supports communications archiving across connected sources, with connector-specific coverage. We review source permissions, available history, recording settings and capture scope before defining your rollout.
Give supervision a path from flag to decision
Follow a deal review across channels. The Timeline example brings an adviser’s email, WhatsApp discussion, call activity and supporting file into one view with the people involved.
Configure the policies
Set review instructions, keywords, thresholds and spot checks around the risks your firm reviews.Route the work
Assign policy flags to review queues with the appropriate reviewers, so business-line expertise can shape the review process.Investigate the finding
Inspect the communication, gather related evidence and open a case with an owner, status and resolution.Prepare the requested record
Review case reports and collection requirements with the team responsible for an exam, investigation or legal matter.
Explore policy matching and surveillance, case management and the expanded e-discovery workspace.
Make complex requirements part of the evaluation
| Your firm needs to establish | What to bring to the discussion |
|---|---|
| Channel coverage | Business systems, mobile channels, recording sources and historical data requirements. |
| Supervisory ownership | Business lines, policy owners, reviewer queues and escalation responsibilities. |
| Legal configuration | Applicable frameworks, counsel’s positions and the distinction between configured and enforced policies. |
| Evidence handoff | Example requests, required formats, collection size and the recipient’s workflow. |
| Data placement | Permitted locations for records, processing and backups, including connector dependencies. |
The configuration workspace gives administrative and legal decisions a place in the product. Enterprise planning and data residency review address requirements that need to be demonstrated for your deployment.
A regulatory design statement with a clear boundary
Comma is designed against SEC 17a-4, FINRA 4511, CFTC 1.31 and MiFID II electronic-recordkeeping requirements. That describes the design basis; it is not regulatory approval or a determination that your firm’s obligations are satisfied.
Your firm defines its obligations and accountable roles. We work through the available controls, evidence and deployment requirements with your compliance, legal and technology teams.
Frequently asked questions
Is Comma an archive or just a capture connector?
Can a bank evaluate Comma for a complex deployment?
Can we connect the archive to an existing business system?
Evaluate the platform against your firm's work.
Bring a real channel inventory and a sample investigation. We'll walk through capture, archive, review and case work with your team.