Evaluating communications oversight software
Impactful questions for SEC and FINRA regulated firms
Every communications archiving platform promises fewer false flags
When it comes to regulatory compliance, methodology matters.
Download the guideFAQ
What is Contextual AI in communications oversight?
Contextual AI reviews business communications in the context of SEC and FINRA recordkeeping rules rather than matching keywords, so it identifies genuine risk instead of flagging everything that contains a given term.
How is Contextual AI different from keyword-based review?
Keyword tools flag any message containing certain terms and cannot tell a claim from a conversation, or an email from its disclaimer. Contextual AI identifies risk in context of the rules, resulting in a 99% reduction in false flags and a 95% reduction in manual compliance tasks.
What is alert fatigue in compliance?
Alert fatigue is what happens when keyword-based systems produce so many false positives that compliance teams spend their days clearing noise instead of addressing real risk.
Does AI-based oversight keep a human in the loop?
Yes. Archive Intel keeps a human in the loop. The firm supervises; Archive Intel supports supervision.
Which communications can be captured for oversight?
Archive Intel captures business communications across text, LinkedIn, email, chat, social media, and web.
Is Archive Intel certified and partnered for compliance?
Archive Intel is SOC 2 Type II Certified and an Official LinkedIn Regulatory Compliance Partner.
What communication channels does Archive Intel capture?
Archive Intel captures email (Microsoft 365, Google Workspace, and others), text messages and SMS/MMS (personal and corporate devices), LinkedIn (messages, posts, comments, reactions, InMail, profile activity), Twitter/X, Facebook, Instagram, YouTube, WhatsApp, Microsoft Teams, Zoom, Slack, WeChat, and more. We also capture and flag AI-generated communications through our Contextual AI layer. Visit our channels page for the current full list.
Does Archive Intel capture text messages from personal phones?
Yes. Archive Intel captures SMS and MMS from both firm-issued and personal devices. Personal device capture typically requires enrollment of a lightweight mobile profile, which is industry standard for any compliant personal device text archiving solution. The SEC and FINRA do not distinguish between personal and firm-issued devices. If an advisor uses their personal iPhone to send a client a business text, that text is a business record.
What is contact-level whitelisting?
Contact-level whitelisting empowers users to select business contacts to be captured, reviewed, and archived while personal texts remain private.
What content is captured within each communication, just text, or also attachments and images?
Archive Intel captures communications in their full context, text, emojis, file attachments, images, video, and links, exactly as they appeared at the time of sending. For social media, we capture the full post including any embedded media. All captures include metadata: sender, recipient, timestamp, device/platform, and any edits or deletions after initial send (where the platform allows). The original content is preserved even if the sender later edits or deletes it.
Where is my firm's archived data stored?
Archive Intel stores all data in secure, encrypted cloud infrastructure located in the United States. All data is encrypted in transit using TLS and at rest using AES-256 encryption. Our storage environment meets the WORM requirements of SEC Rule 17a-4 and uses enterprise-grade access controls. Data residency options are available for firms with specific jurisdictional requirements. Contact us to discuss your data residency needs.
How quickly can I search and retrieve specific archived communications?
Immediately. Archive Intel's search interface allows compliance officers to query the full archive by keyword, user, date range, channel, or any combination. Results are returned in seconds. All records within the active retention window are in hot storage, there is no wait for retrieval from cold storage. Export packages formatted for regulatory production (examination requests, legal holds, litigation discovery) are generated in minutes, not hours or days.
How long does implementation take?
Most clients are fully live within two to four weeks for core channels like email and text. Social media and messaging platform integrations are typically completed within the same window. LinkedIn setup, which requires direct API credentialing through the LinkedIn Compliance Partner program, may take slightly longer depending on your LinkedIn account configuration. Archive Intel's onboarding team manages the technical setup end to end. You will have a dedicated onboarding contact from kickoff through go-live.
What happens to our historical archived records when we switch to Archive Intel from another vendor?
Archive Intel can ingest historical data from prior archiving vendors or other sources for most channels. We support bulk email imports and can work with your team on a migration plan for other channels. We recommend maintaining access to your prior archive for the remaining portion of its regulatory retention period in parallel with Archive Intel. Our onboarding team will guide you through the migration to ensure there are no compliance gaps in your record.
Is there a minimum contract term?
Annual contracts are standard. Given that regulatory retention requirements run for multiple years, most clients benefit from multi-year agreements that lock in pricing and ensure continuous coverage without gaps. Your sales contact will walk you through contract options during the demo.