Explore Our Latest Compliance Insights and Industry Updates

The Comma Compliance Insights hub covers messaging compliance, recordkeeping obligations, and off-channel communications enforcement — with a focus on the encrypted channels regulators are examining most: WhatsApp, iMessage, and Signal.

Topics include SEC and FINRA enforcement, WhatsApp compliance archiving, iMessage retention under Rule 17a-4, Signal capture, Bloomberg Chat, LinkedIn, Microsoft Teams, Google Workspace, and the regulatory frameworks that govern business communications.

Off-Channel Communications are a Ticking Time Bomb

Off-channel messaging apps are a compliance risk. Firms need tooling to avoid rising SEC/FINRA penalties without banning the apps employees rely on.

Jeremiah Church|Jan 29, 2025

Related resources

Compliance GlossaryDefinitions of common compliance, recordkeeping, and messaging terms.
Regulation GuidesSEC Rule 17a-4, FINRA Rule 4511, and the recordkeeping rules that govern business communications.

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