# Financial Services Archive & Surveillance | Comma

Bring financial services communications into an archive, route policy reviews and organize investigations. Explore deployment planning for complex firms.

Source: https://commacompliance.com/financial-services
Last updated: 2026-09-10

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Financial Services

# Supervision that follows the conversation, not just the channel.

Archive. Review. Investigate.

Review communications without losing the context behind them. Supervise messaging, investigate potential issues and give compliance teams a searchable record for reviews and examinations.

[Discuss your firm's requirements](/get-in-touch)

## 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](/compliance-archiving) across connected sources, with [connector-specific coverage](/platform-integrations). We review source permissions, available history, recording settings and capture scope before defining your rollout.

*Image: Comma archived messages list with platform and user filters across email and mobile messaging*

Captured conversations from connected platforms in the archive.

## Give supervision a path from flag to decision

[Follow a deal review across channels](/timeline#deal-review). The Timeline example brings an adviser’s email, WhatsApp discussion, call activity and supporting file into one view with the people involved.

1.  ### Configure the policies

    Set review instructions, keywords, thresholds and spot checks around the risks your firm reviews.

2.  ### Route the work

    Assign policy flags to review queues with the appropriate reviewers, so business-line expertise can shape the review process.

3.  ### Investigate the finding

    Inspect the communication, gather related evidence and open a case with an owner, status and resolution.

4.  ### 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](/policy-matching), [case management](/exam-ready-cases) and the [expanded e-discovery workspace](/e-discovery).

## 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](/configuration-and-controls) gives administrative and legal decisions a place in the product. [Enterprise planning](/enterprise) and [data residency review](/data-residency) 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?

Comma offers an archive alongside connected-source capture, policy review and case management. Expanded e-discovery is enabled for the team, with capabilities confirmed during deployment planning.

Can a bank evaluate Comma for a complex deployment?

Yes. Bring the channel inventory, identity requirements, review structure, data-location constraints and evidence outputs you need. We'll map those requirements to available capabilities and identify what must be demonstrated before rollout.

Can we connect the archive to an existing business system?

Discuss both directions with us: sending communications into a business system and archiving records from that system. They are different workflows, with coverage and enablement confirmed per connector.

## 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.

[Get in Touch](/get-in-touch)[Pricing](/pricing)