Simplified Communication Compliance

These are compliance technology solutions that monitor, capture, store, and analyze electronic communications such as emails, chats, voice, SMS, mobile messaging, social media, video, and collaboration platforms. They help financial firms meet regulatory obligations, detect misconduct, and provide insights for internal investigations as well as audit and regulatory inquiries. 

Yes. Our website archiving technology captures specified web pages and their linked content at configurable intervals, preserving their appearance in PDF and securely storing them in ComplianceAlpha^®. This supports compliance with the SEC Rule 204-2 and strengthens oversight by enabling firms to demonstrate consistent recordkeeping practices.

Our solution helps firms comply with global regulations including the SEC Rule 17a-4, FINRA 3110/4511, Dodd-Frank, MiFID II, MAR, , SM&CR, , and other electronic communications recordkeeping and supervisory requirements. 

In the U.S., the SEC and FINRA typically require five to seven years. In the EU, MiFID II mandates at least five years. Requirements vary by region, product, and other factors, so retention settings must be configurable by jurisdiction. 

We support capture across a broad and expanding set of communications channels, including email, Bloomberg, Microsoft Teams, Slack, Zoom, WhatsApp, SMS/text, voice, and social media platforms. Alongside typical  communication channels, eComms can also support website archiving to facilitate compliance with the SEC recordkeeping rules. 

DCG is the framework financial services firms use to capture, retain, supervise, and monitor electronic communications in accordance with regulatory requirements and internal compliance policies and procedures. It encompasses the lifecycle of communications data, from capture and archive, to surveillance and retrieval, and ensures data is tamper-proof, auditable, and regulator-ready. 

ACA’s eComms solution enables DCG by offering multi-channel capture, WORM-compliance archiving, AI-powered surveillance, and access to communication records. With built-in support for global regulations, flexible policy controls, and scalable technology, firms can meet evolving regulatory expectations while reducing compliance burden. 

Yes, we offer flexible mobile capture options that work in BYOD environments while meeting compliance and privacy standards. 

Yes. Our surveillance tools analyze communications across various platforms to detect code words, high-risk behaviors and patterns indicative of non-compliance, while minimizing false positives.  

Yes. Our solution supports multi-jurisdictional compliance with configurable retention periods, encryption, access controls, and options for data residency. 

Our solution offers customizable, audit-ready reports to support regulatory exams, investigations, and compliance oversight. These include: 

• Policy violation reports – Summary of flagged communications based on your lexicons and rules.
• Alert and escalation reports – Track volume, severity, and status of alerts, including escalated cases.
• Reviewer activity reports – Monitor compliance team performance, review timeliness, and workload distribution.
• Channel usage reports – Understand communication trends across platforms (e.g., email vs. chat vs. voice).
• Retention and archiving reports – Confirm message retention status, WORM compliance, and export logs.
• Audit trail reports – Full visibility into who accessed, reviewed, or modified records.
• Risk trend reports – Spot recurring themes, emerging risks, or departments with elevated flagged activity.

Communications are indexed and fully searchable, allowing fast retrieval with rich filtering, tagging, and export functionality for audit readiness. Users with appropriate permissions can perform most of these exports directly from the software at zero cost for extraction of data. (Certain massive inquiries, such as those spanning multiple years, may require facilitation assistance.) 

Our eComms surveillance solution enhances compliance monitoring, reduces false positives, enables timely detection of misconduct, and streamlines regulatory reporting, which helps firms maintain compliance and mitigate potential risks. 

Our AI-powered monitoring solution captures, archives, and analyzes communications across various platforms using machine learning and to detect non-compliant activity and streamline review workflows. 

Our platform uses keyword lexicons and behavior-based surveillance analytics to detect potential insider trading, misconduct, policy violations, or abusive language in communications. 

Absolutely. You can tailor lexicons, create workflows, and apply policy rules based on employee roles, communication channels, and business lines. Users with appropriate permissions can perform this self-service within the UI. 

Yes. Our solution uses WORM-compliant storage that satisfies SEC 17a-4 and other regulatory requirements for data integrity and auditability. 

Yes. We offer open APIs and integration with many third-party compliance, CRM, and case management systems to help streamline your workflow. 

Our eComms Capture, Archive, and Surveillance solutions are purpose-built for compliance professionals. They combine deep regulatory expertise with best-in-class technology to provide reliable, intuitive tools for modern surveillance and archiving. We also use appropriate technologies, including Generative AI, to reduce compliance workload and improve reviewer efficiency. 

Yes. Our compliance experts can work with your team to design and implement a scalable program that focuses resources on the riskiest behaviors and communication channels. 

Yes. ComplianceAlpha^® is designed to capture and monitor a variety of channels, including emails, collaboration platforms, social media, mobile devices, and voice communications. Users have a single view across all captured channels.