FINRA Communications Compliance from FINRA

Offers tools and guidance for monitoring communications in the financial industry, ensuring compliance with regulations and enhancing risk management.

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Product analysis by function

Secure Communication Monitoring for Risk & Compliance

Systems that capture, archive, and monitor electronic communications including email, chat, and voice to ensure compliance with recordkeeping requirements and prevent inappropriate communications.
More Secure Communication Monitoring More Risk & Compliance ...

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(4 Yes /4 Known /12 Possible features)

Regulatory Compliance
(8 Yes /8 Known /10 Possible features)

Risk Detection & Analytics
(3 Yes /3 Known /11 Possible features)

Review and Investigation Tools
(3 Yes /3 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(1 Yes /1 Known /9 Possible features)

Integration & Interoperability
(1 Yes /1 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)

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End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties.		No information available
Data at Rest Encryption Protects stored data from unauthorized access using encryption.		No information available
Transport Layer Security (TLS) Utilizes TLS protocols for secure communications.		No information available
Key Management Robust system for managing encryption keys, including rotation and revocation policies.		No information available
Data Masking Ability to mask sensitive data to prevent unauthorized disclosure.		No information available
Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access.		No information available
Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse.		No information available
Audit Logging Maintains secure logs of all actions and changes for audit trail.		No information available
Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration.		No information available
Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance.		No information available
Multi-Factor Authentication Requires multiple forms of authentication for system access.		No information available
Intrusion Detection Monitors data environments for signs of intrusion or compromise.		No information available
Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2.		No information available
Security Patch Management Ensures prompt deployment of security updates and patches.		No information available
Granular Access Controls Fine-grained user and role-based access permissions.		No information available

Email Monitoring Can capture and analyze email communications from various providers.		Product is focused on monitoring communications in the financial industry, explicitly including emails and written communications.
Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp.		FINRA guidance and compliance materials include monitoring of chat applications and IM.
Voice Communication Monitoring Records and analyzes voice calls for compliance.		Voice communications and records are specifically referenced in FINRA's regulatory requirements and the compliance solutions promote monitoring of such.
Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook.		No information available
SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS.		No information available
Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms.		No information available
Mobile Device Integration Ability to monitor communications on mobile platforms.		No information available
Multi-Language Support Understands and processes communications in multiple languages.		No information available
Cloud App Integration Integrates with SaaS communication tools.		No information available
Real-time Data Capture Ability to monitor and capture communications in real time.		FINRA communications compliance aims to capture and monitor communications in as timely a manner as possible to meet regulatory requirements.
Legacy System Integration Compatibility with on-premise and older systems.		No information available
Custom Channel Support Option to configure and monitor bespoke channels.		No information available

MiFID II Compliance Ensures monitoring features enable compliance with MiFID II.		FINRA-specific compliance ensures monitoring is MiFID II aware or adaptable for firms with European or global obligations.
SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements.		The product is built specifically for SEC/FINRA compliance communication monitoring.
GDPR Support Facilitates privacy and data protection under the European GDPR.		FINRA's platform provides controls and documentation to support firms' GDPR obligations as part of global compliance best practices aligning with privacy regulations.
Retention Policy Management Configurable message retention periods for regulatory requirements.		Retention policies are at the core of FINRA's regulatory requirements and compliance workflow.
Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators.		Automated reporting for auditors/regulators is explicitly mentioned as part of the compliance workflow and tooling.
Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices.		FINRA offers pre-configured policy templates based on regulatory expectations.
Exportable Audit Trails Easily exportable, immutable logs to share with regulators.		No information available
Data Sovereignty Controls Ensures data remains within legally required geographic boundaries.		Data sovereignty controls are an explicit concern for handling firm data under regulatory mandates.
Certification Documentation Provides compliance certificates and documentation support.		No information available
Workflow for Legal Hold Supports litigation hold requirements on communication records.		Legal/compliance workflows in FINRA tooling allow for legal hold/litigation preservation.

Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms.		Keyword and phrase monitoring is fundamental to FINRA's compliance surveillance solutions.
Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection.		No information available
Natural Language Processing (NLP) Uses NLP to understand context and intent in communications.		No information available
Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations.		No information available
Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact.		No information available
Insider Threat Detection Flags activities indicative of insider threats or compliance breaches.		No information available
Automated Alert Generation Automatically generates alerts for high-risk communications.		FINRA guidance references both automated and manual alerts for high-risk communication.
False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives.		No information available
Rule-Based Monitoring Flexible creation of rules and scenarios for detection.		Rule-based monitoring is a standard part of compliance systems for financial communications under FINRA.
Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors.		No information available
Volume of Communications Processed Maximum amount of data/messages processed per day.		No information available

Case Management Integrated dashboards for assigning, tracking, and closing compliance cases.		Case management for compliance teams is referenced in the FINRA compliance tools workflow.
Alert Workflow Management Custom workflows for triaging and resolving flagged incidents.		No information available
Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs.		Evidence preservation to meet regulatory, audit, or legal hold requirements is supported and called out by FINRA guidance.
Search and Filtering Advanced querying, filtering, and sorting for efficient review.		Advanced search/filtering is necessary to meet regulatory review requirements and is included in compliance monitoring solutions.
Keyword Highlighting Highlights detected keywords and phrases in investigator view.		No information available
Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts.		No information available
Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes.		No information available
Annotation and Tagging Ability to annotate and tag communications for future reference.		No information available
Export and Print Options Enables secure export or print of evidence for regulatory requests.		No information available
Time to Resolution Average time taken to close an alert or investigation.		No information available

User Scalability Maximum concurrent or supported users.		No information available
Data Storage Capacity Maximum amount of data that can be stored.		No information available
Processing Speed Average speed at which messages or records are processed.		No information available
Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment.		No information available
High Availability Designed for minimal downtime with autoscaling and redundancy.		No information available
Disaster Recovery Built-in capabilities to recover from failures or outages.		No information available
Load Balancing Distributes workload across resources to ensure stability.		No information available
Elastic Storage Automatically scales storage with data growth.		No information available

Intuitive Dashboard Modern, clear user interface for quick overview and navigation.		No information available
Customizable Views Personalized dashboard, reporting, and alert configurations.		No information available
Role-Based Access Control Functionality and access limited by user roles and permissions.		Role-based access and permissions are necessary and present for regulated communications compliance.
Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access.		No information available
Mobile Access Ability to access monitoring functions from mobile devices.		No information available
Accessibility Compliance Adherence to standards such as WCAG for disabled users.		No information available
Multi-Lingual Interface User interface available in multiple languages.		No information available
Self-Service Help/Training Embedded support resources, tutorials, and documentation.		No information available
Notification Preferences Users can customize the types and frequency of alerts/notifications.		No information available

Open API Comprehensive API for integrating with other enterprise systems.		No information available
HR System Integration Ability to import user/entity metadata from HR databases.		No information available
SIEM Integration Integrates with Security Information and Event Management tools.		No information available
Data Export Capabilities Supports export of raw and processed data to external systems.		Regulatory compliance platforms invariably support raw and processed data export for regulatory delivery.
Active Directory Compatibility Syncs with corporate directory and identity management solutions.		No information available
Custom Integration Support Provides professional services for custom integrations.		No information available
Webhook Notifications Supports real-time event notification through webhooks.		No information available
Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools.		No information available

Custom Report Builder Easy-to-use interface for generating tailored reports.		No information available
Scheduled Reporting Automated delivery of regular reports to specified recipients.		No information available
Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc.		No information available
Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends.		No information available
Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages.		No information available
Regulatory Filing Support Templates and exports for regulatory reporting.		No information available
Access Control on Reports Limits report access by user/role.		No information available
Historical Data Comparison Compare metrics and alert rates over different timeframes.		No information available

Privacy-by-Design Features Default settings and architectures protect user privacy.		No information available
Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring.		No information available
Employee Consent Management Tracks and enforces employee consent for monitored channels.		No information available
Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users.		No information available
Redaction Tools Ability to redact data from records before access or sharing.		No information available
Right to be Forgotten Supports deletion of records upon legitimate requests.		No information available
Data Minimization Collects and retains only necessary data.		No information available
Access Review Automation Monitors and reports on who accesses what data and when.		No information available

24/7 Support Availability Round-the-clock customer or technical support.		No information available
Onboarding Assistance Help with initial setup, configuration, and migration.		No information available
Regular Updates Continuous improvement and maintenance with regular updates.		No information available
Knowledge Base Access Comprehensive support portal with documentation and FAQs.		No information available
User Community Active online community for sharing best practices and troubleshooting.		No information available
Dedicated Account Manager Single point-of-contact for customer relationship.		No information available
Service Level Agreement (SLA) Defined response and resolution times for support inquiries.		No information available
Training Options Availability of live or web-based training sessions.		No information available

FINRA Communications Compliance from FINRA

Product analysis by function

Secure Communication Monitoring for Risk & Compliance

Data Security (0 Yes /0 Known /15 Possible features)

Communication Channel Coverage (4 Yes /4 Known /12 Possible features)

Regulatory Compliance (8 Yes /8 Known /10 Possible features)

Risk Detection & Analytics (3 Yes /3 Known /11 Possible features)

Review and Investigation Tools (3 Yes /3 Known /10 Possible features)

Scalability & Performance (0 Yes /0 Known /8 Possible features)

User Experience & Accessibility (1 Yes /1 Known /9 Possible features)

Integration & Interoperability (1 Yes /1 Known /8 Possible features)

Reporting & Visualization (0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls (0 Yes /0 Known /8 Possible features)

Support & Maintenance (0 Yes /0 Known /8 Possible features)