# Financial Services Compliance Software | Comma Compliance

Compliance platform for financial firms. Meet SEC 17a-4 and FINRA Reg S-P with real-time WhatsApp, Signal, iMessage, and email capture.

Source: https://commacompliance.com/landing/financial-services-compliance-software
Last updated: 2026-04-18

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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 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 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 exam-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:

- 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](/security-data-protection)

#### Future-Proof Your Financial Communications Compliance

Implement policies and controls that satisfy key financial regulations:

- [SEC 17a-4](/regulations/sec-17a-4) compliant archiving and retention
- FINRA Reg S-P supervision and reporting
- SOX 404(b) internal control workflows

With exam-ready records and [WORM-compliant archives](/resources/worm-storage), you can demonstrate compliance at every stage of the exam process.

Ensure your team stays ahead of evolving regulations with a single, unified platform.