Financial Services Compliance Software for SEC, FINRA & Global Regulations
Book DemoBuilt by compliance engineers, trusted by compliance officers, designed to make SEC, FINRA, and Sarbanes-Oxley (SOX) reporting effortless. Stress-free Signal compliance. Dispute-free audits. Operational integrity with zero user friction.
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 bulletproof, real-time data capture and policy enforcement.
Capture Every Business Conversation.
Avoid Every Fine.
Native WhatsApp, SMS, Slack & email archiving in one SEC-ready vault.
Comma Compliance
Legacy Vendors
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 every business conversation, everywhere. Native ingestion of WhatsApp, Signal, iMessage, LinkedIn, Slack, and Teams — eliminating blind spots and ensuring no message goes unarchived.
- Secure every message end-to-end. TLS 1.2+ in transit and AES-256 WORM storage at rest ensure audit-ready, tamper-proof 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:
LEARN MORE- 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
Future‑Proof Your Financial Communications Compliance
Implement policies and controls that satisfy key financial regulations:
- SEC 17a‑4 compliant archiving and retention
- FINRA Reg S‑P supervision and reporting
- SOX 404(b) internal control workflows
With audit-ready records and WORM-compliant archives, you can demonstrate compliance at every stage of the audit process.
Ensure your team stays ahead of evolving regulations with a single, unified platform.