Our purpose-built compliance platform empowers financial institutions to meet stringent regulatory requirements - from SOX 404(b) to SEC 17a-4 and FINRA Reg S-P - with resilient, real-time data capture and policy enforcement.
Capture Business Conversations. Reduce Your Exam Risk.
Native WhatsApp, SMS, Slack & email archiving in one SEC-ready vault.
Comma Compliance vs. Legacy Vendors
| Comma Compliance | Legacy Vendors | |
|---|---|---|
| Contextual AI Risk Detection | Context-aware | Keyword-only flags |
| Native Off-Channel Capture | WhatsApp, Signal, and iMessage all securely hosted in our database or yours | Relies on external cloud logs, including iOS and WhatsApp |
| Full E2E Encryption | TLS 1.2+ & AES-256 | At risk for DNS spoofing, MITM attacks, and interceptions |
| Privacy-First Filtering | Stores business contact messages and content only | Archives all messages, even personal |
| Off-line Resilience | Works even if one device is offline | Off-line resilience at risk |
Simple SEC & SOX Compliance
As a leading RegTech software for financial services and compliance automation tool for banks, our financial reg compliance software helps institutions capture, secure, and oversee all business communications, so you can:
- Focus on true threats. Privacy-first filtering archives only business contact messages, cutting review time and preventing AI-washing with human-in-the-loop oversight.
- Capture business conversations across channels. Native ingestion of WhatsApp, Signal, iMessage, LinkedIn, Slack, and Teams - closing the blind spots that off-channel messaging creates.
- Secure every message end-to-end. TLS 1.2+ in transit and AES-256 WORM storage at rest ensure exam-ready, tamper-protected archives that meet regulatory requirements.
- Spot risks in real time. Smart AI-driven monitoring flags potential violations at transmission, empowering your team to remediate issues instantly.
Backed by Industry Standards
Comma is built on enterprise-grade security and expert guidance:
- SOC 2 Type I & II
- Google OAuth CASA assessment passed for Gmail & Workspace integrations
- Hosted on AWS with multi-AZ clustering, automatic failover, and encrypted backups
- Daily vulnerability scans and regular independent penetration tests for proactive threat detection
- Developed with advisory input from former SEC compliance officers
Learn more about our security program
Future-Proof Your Financial Communications Compliance
Implement policies and controls that satisfy key financial regulations:
- Archiving and retention designed against SEC 17a-4
- FINRA Reg S-P supervision and reporting
- SOX 404(b) internal control workflows
With exam-ready records and WORM-compliant archives, you can meet examiner requests throughout the exam process.
Ensure your team stays ahead of evolving regulations with a single, unified platform.