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Communications Archiving and Review

Under SEC Rule 204-2 of the Investment Advisers Act of 1940, firms are required to maintain accurate books and records of business activities – including written communications.

Comply’s Communications & Archiving solution helps firms meet these requirements with a centralized system that strengthens oversight, reduces manual review burdens, and maintains a robust record of supervision.

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Multi-Channel Coverage

Capture, review, and store client communications in a WORM-compliant format across key channels, including:

  • Email: Preserve every communication sent or received across your email’s domain
  • Social Media: Capture and store firm & employee posts from LinkedIn and X
  • Websites: Snapshot and retain web content to support marketing compliance
  • Professional Messaging: Preserve communications sent through 3rd party texting services, including MyRepChat, CellTrust, and RedTail Speaks
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Communications Archiving Review - Stand Aone

Customizable Oversight

Mark users for heightened supervision, choose your preferred sample size, and easily filter archived content by channel, keyword, date range, and more.

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Comply Communications Archiving - Hightened Supervision Stand Alone

User-Friendly Interface

Intuitive navigation streamlines record searches and brings speed and efficiency to the review process.

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Communications Archiving - Social Media Post

Purpose-Built for Compliance

Securely store archived data and maintain a centralized compliance log to track and document completed reviews.

 

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Comms Archiving Review - Social Media Records
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Archiving and Review with Confidence

Meet your jurisdictions books and records compliance requirements with a technology-backed solution designed to capture, store,  and archive. With Comply.

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