Simplifying Communication Oversight.

Communications Review and Archiving with AI and Human Oversight.

Small firms spend 10 - 20 hours a week monitoring their communications using old technology.

Large firms spend between 40 - 80 hours a week monitoring their communications due to lack of systems integrations and manual processes.

Cut that time by up to 70% with CommSafe360™

CommSafe360™

Designed for broker-dealers and investment advisers, CommSafe360™ offers seamless, automated review and secure archiving of emails, chats, and other electronic communications to ensure compliance with FINRA, SEC, and industry regulations.

Our platform simplifies oversight by providing real-time monitoring, comprehensive reports, and audit-ready archives, all while reducing the risk of regulatory fines.

Having trouble monitoring all of the various digital communication channels at your firm?

  • We have you covered. License our AI driven electronic communications software, and stay ahead of the regulators.

  • We track email, Telegram, Slack, Teams, Intercom, WhatsApp, Dialpad, Ring Central, Google Chat and others on the way, if you need it, ask!

  • Our compliance software is 17a-4 compliant by default, and we facilitate this using Amazon AWS S3 Object Lock.

FAQs

    • Electronic content archiving & review – our customers are reporting an average of 50-70% time saving for both submitters and reviewers by leveraging AI to help in the review process

    • Prompt Tuning – similar to what happens when you engage with ChatGPT (if you have used that) essentially, CommSafe360™ built out a number of ways to interact with the AI, asking it to generate certain styles/modes of text.

    • RAG (Retrieval Augmented Generation) – similar to prompt tuning, but CommSafe360™ is creating a prompt and pulling in relevant material from an outside body (like SEC/FINRA Rules/Regulations/Risk Alerts).

    • If CommSafe360™ needs to review a source material for superlatives, the prompt will include the source as well as these outside specific rules which the algorithm is testing against.

    • Fine Tuning – when thinking about the massive amount of information that LLMs (like ChatGPT) have access to, it is a really blurry image of the entire internet. CommSafe360™ pares it down to a more specific, sharper image of just the regulated space that CommSafe360™ is working in. It is an involved process, but CommSafe360™ takes input-output pairs and ensure that the AIs output corresponds more with the sharper specific image that is relevant rather than the blurry general image.

    • For example, our algorithm could potentially flag for MNPI within email correspondence, but it could not provide you with a list of possible recipe ideas.

    • CommSafe360™ uses AI surgically in only a handful of the most mundane parts of the compliance process.

    • Its algorithms are trained and tested regularly to ensure their reliability.

    • CommSafe360™ is powered by Hadrius. An advanced new RegTech platform.

    • To ensure accuracy, CommSafe360™ conducts regular sampling of the AI output to ensure it is operating as intended, and the algorithms are refined as needed to better suit each firm’s specific compliance program.

    • Yes, but we approach these requests case by case as it largely depends on the quality of the data available from the legacy providers.

  • Yes, CommSafe360™ is 17a-4 compliant by default with the use of Amazon AWS S3 Object Lock.