Comma Compliance
✓ Verified ProfileCommunications Compliance & Archiving for Regulated Organizations
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Product Overview
Comma Compliance Overview
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Category-Based Capabilities
Comma Compliance Features
Each category combines the selected software category, its category-specific description, and the features assigned to that category.
Compliance Software 9 selected features Open category ↗ ⌄
Comma Compliance helps regulated firms keep a complete record of business communications across 40+ channels, including WhatsApp, iMessage, Signal, SMS and email. Compliance teams set policies that flag messages for review, record each reviewer's decision, and keep supervision in one place. The archive is designed against SEC 17a-4, FINRA 4511, CFTC 1.31, and MiFID II electronic-recordkeeping requirements, and a simple toggle separates business contacts from personal ones.
Compliance Tracking
Policy Management
Alerts/Escalation
Incident Management
Compliance Management
Audit Management
Audit Trail
Access Controls/Permissions
Artificial Intelligence
Electronic Discovery Software 17 selected features Open category ↗ ⌄
Comma Compliance gives legal and compliance teams one place to find, preserve and produce communications from 40+ channels, including WhatsApp, iMessage, Signal, SMS, email, Slack, Microsoft Teams and recorded calls. A timeline follows people across channels, and identity review shows which numbers and accounts belong to the same person. Teams open a case with an owner, status and resolution, place legal holds, redact sensitive information, and export records and case reports for exams, audits, investigations and litigation. A full copy of the archive can also be delivered to your own Amazon S3 or Azure Blob storage. Redaction is coming soon.
Document Review
Optical Character Recognition
Full Text Search
Compliance Management
Full Text Extraction
Metadata Extraction
Document Management
Tagging
Case Management
Access Controls/Permissions
Data Import/Export
Archiving & Retention
Secure Data Storage
Search/Filter
Data Visualization
Document Storage
Artificial Intelligence
Connected Applications
Comma Compliance Integrations
Integration information is displayed only when approved integration products are available on the profile.
Microsoft 365
Microsoft Outlook
Azure Blob Storage
Google Meet
Google Workspace
HubSpot CRM
Slack
Jira
Webex
Twilio
Zoom Meetings
RingCX
RingCentral Video
Bloomberg Terminal
TikTok
Fireflies
Pricing Information
Comma Compliance Pricing
Pricing type, currency, trial availability, payment frequency, destination links, and package-level starting prices.
Frequently Asked Questions
Comma Compliance FAQs
Answers generated from approved profile information, selected options, packages, integrations, support, training, deployment, and devices.
Comma Compliance
Comma Compliance is a communications archiving, supervision, and e-discovery platform for regulated firms. It captures business communications from the channels employees, advisers, and clients actually use, brings them into one searchable archive, and gives compliance, legal, investigations, and IT teams the tools to supervise communications, investigate incidents, prepare for regulatory examinations, and respond to audits and litigation.
Communication capture across 40+ channels
Comma captures communications across more than 40 channels, including WhatsApp, iMessage, Signal, Telegram, WeChat, WeCom, Matrix, SMS, MMS, RCS, Gmail, Microsoft 365, IMAP email, Slack, Microsoft Teams, Zoom, Google Meet, RingCentral, Quo, Zoom Phone, Bloomberg Chat, TikTok, YouTube, Substack, Fathom, Fireflies, Otter Enterprise, and AI tools such as ChatGPT.
All captured communications are stored in the same searchable archive. This gives compliance and investigation teams a continuous view when a conversation moves between channels, such as email, WhatsApp, and a phone call.
Comma is designed to capture communications without requiring employees to change their normal workflows. Organization wide connections for platforms such as Microsoft 365, Google Workspace, Slack, and Zoom can be configured once for the organization. Messaging accounts can be connected by individual employees through an administrator managed process.
WhatsApp capture does not require an application to be installed on an employee's phone, and iMessage capture does not depend on iCloud backups. Text messages can be captured from company owned, fully managed Android phones. Employees using personal phones can instead be assigned a permanent hosted business number that remains with them when they change devices and keeps their personal number outside the business archive.
Investigations and e-discovery
Comma provides a unified timeline for investigating people and communications across channels. Message threads, calls, voicemail, and archived files can be viewed together and filtered by person, time period, platform, and activity.
Identity review helps teams determine which phone numbers and communication accounts belong to the same person.
Investigators can search by person, contact, channel, or date and create cases with an owner, status, description, resolution, and linked records. Legal holds can be placed on relevant records, while records and case reports can be exported for regulatory examinations, audits, investigations, and litigation.
This allows compliance and legal teams to move from an initial communication flag to an investigation and evidence package without moving records between separate systems.
FINRA reporting
For FINRA member firms, Comma provides a regulatory panel within cases for recording a Rule 4530 reportable event or documenting a reasoned decision not to file.
The workflow includes deadline reminders for administrators, a quarterly complaint statistics draft, and CRD fields covering the firm, branch, and individual team members.
Administration and access
Administrators manage communication capture, business and personal classification, contact visibility, retention, regulatory reporting, notifications, API access, and branding through a centralized Configuration Center.
Role based access includes Viewer, Manager, Team Administrator, Reviewer, and Auditor. Contact directory visibility can be configured from permissive to privacy focused settings.
Configuration changes are recorded in an audit log, including changes to retention settings, legal holds, and notification routing. Audit records can be filtered and exported as CSV or JSON.
Comma provides APIs and webhooks for connecting the platform to other systems. Conversation summaries can also be synchronized with CRM systems.
Comma Compliance is a communications archiving, supervision, and e-discovery platform for regulated firms. It captures business communications from the channels employees, advisers, and clients actually use, brings them into one searchable archive, and gives compliance, legal, investigations, and IT teams the tools to supervise communications, investigate incidents, prepare for regulatory examinations, and respond to audits and litigation.
Communication capture across 40+ channels
Comma captures communications across more than 40 channels, including WhatsApp, iMessage, Signal, Telegram, WeChat, WeCom, Matrix, SMS, MMS, RCS, Gmail, Microsoft 365, IMAP email, Slack, Microsoft Teams, Zoom, Google Meet, RingCentral, Quo, Zoom Phone, Bloomberg Chat, TikTok, YouTube, Substack, Fathom, Fireflies, Otter Enterprise, and AI tools such as ChatGPT.
All captured communications are stored in the same searchable archive. This gives compliance and investigation teams a continuous view when a conversation moves between channels, such as email, WhatsApp, and a phone call.
Comma is designed to capture communications without requiring employees to change their normal workflows. Organization wide connections for platforms such as Microsoft 365, Google Workspace, Slack, and Zoom can be configured once for the organization. Messaging accounts can be connected by individual employees through an administrator managed process.
WhatsApp capture does not require an application to be installed on an employee's phone, and iMessage capture does not depend on iCloud backups. Text messages can be captured from company owned, fully managed Android phones. Employees using personal phones can instead be assigned a permanent hosted business number that remains with them when they change devices and keeps their personal number outside the business archive.
Administrators can classify contacts and configure which platforms default to business or personal communications.
Communications supervision and review
Compliance teams can create supervision policies that evaluate communications as they are captured. Policies can match keywords and phrases, patterns such as account numbers, specific channels, and specific senders or recipients.
Potentially relevant communications are routed into review queues organized by area, with escalation queues for higher risk items. Reviewers can be assigned individual items, record decisions, and maintain an accountable history of how each flag was handled.
Comma also supports sampling of unflagged communications. Firms can specify a sampling rate and use the resulting review activity to demonstrate coverage across communications, rather than reviewing only messages that were automatically flagged.
A flag is treated as a prompt for human review rather than an automated finding.
Escalation rules can notify the assigned reviewer and then administrators on a timed escalation ladder. Notifications can be delivered through the application, email, SMS, and iMessage. Firms can use standard, strict, or custom escalation settings and configure quiet hours.
Compliance teams can create supervision policies that evaluate communications as they are captured. Policies can match keywords and phrases, patterns such as account numbers, specific channels, and specific senders or recipients.
Potentially relevant communications are routed into review queues organized by area, with escalation queues for higher risk items. Reviewers can be assigned individual items, record decisions, and maintain an accountable history of how each flag was handled.
Comma also supports sampling of unflagged communications. Firms can specify a sampling rate and use the resulting review activity to demonstrate coverage across communications, rather than reviewing only messages that were automatically flagged.
A flag is treated as a prompt for human review rather than an automated finding.
Escalation rules can notify the assigned reviewer and then administrators on a timed escalation ladder. Notifications can be delivered through the application, email, SMS, and iMessage. Firms can use standard, strict, or custom escalation settings and configure quiet hours.
Investigations and e-discovery
Comma provides a unified timeline for investigating people and communications across channels. Message threads, calls, voicemail, and archived files can be viewed together and filtered by person, time period, platform, and activity.
Identity review helps teams determine which phone numbers and communication accounts belong to the same person.
Investigators can search by person, contact, channel, or date and create cases with an owner, status, description, resolution, and linked records. Legal holds can be placed on relevant records, while records and case reports can be exported for regulatory examinations, audits, investigations, and litigation.
This allows compliance and legal teams to move from an initial communication flag to an investigation and evidence package without moving records between separate systems.
Regulatory exam readiness
Comma provides tools for preparing for and documenting regulatory examinations.
Firms can establish communication coverage baselines showing which channels each person is expected to have covered, including documented exceptions. Review periods can be opened according to the firm's schedule, reviewers can be reminded of expected work, and completed periods can be closed with a recorded outcome.
Timed exam drills allow teams to rehearse common examiner requests and retain a record of each exercise.
Comma also provides six reports that can be generated for a selected date range in PDF and CSV formats, creating an evidence packet for an examination or audit.
Outside auditors can receive time limited, read only access. When employees leave the organization, firms can record the offboarding outcome for each communication channel.
Comma provides tools for preparing for and documenting regulatory examinations.
Firms can establish communication coverage baselines showing which channels each person is expected to have covered, including documented exceptions. Review periods can be opened according to the firm's schedule, reviewers can be reminded of expected work, and completed periods can be closed with a recorded outcome.
Timed exam drills allow teams to rehearse common examiner requests and retain a record of each exercise.
Comma also provides six reports that can be generated for a selected date range in PDF and CSV formats, creating an evidence packet for an examination or audit.
Outside auditors can receive time limited, read only access. When employees leave the organization, firms can record the offboarding outcome for each communication channel.
FINRA reporting
For FINRA member firms, Comma provides a regulatory panel within cases for recording a Rule 4530 reportable event or documenting a reasoned decision not to file.
The workflow includes deadline reminders for administrators, a quarterly complaint statistics draft, and CRD fields covering the firm, branch, and individual team members.
Administration and access
Administrators manage communication capture, business and personal classification, contact visibility, retention, regulatory reporting, notifications, API access, and branding through a centralized Configuration Center.
Role based access includes Viewer, Manager, Team Administrator, Reviewer, and Auditor. Contact directory visibility can be configured from permissive to privacy focused settings.
Configuration changes are recorded in an audit log, including changes to retention settings, legal holds, and notification routing. Audit records can be filtered and exported as CSV or JSON.
Comma provides APIs and webhooks for connecting the platform to other systems. Conversation summaries can also be synchronized with CRM systems.
Data ownership and portability
Comma can continuously deliver a copy of business records to an Amazon S3 bucket or Azure Blob container owned by the customer, in addition to maintaining the archive within Comma.
Comma can continuously deliver a copy of business records to an Amazon S3 bucket or Azure Blob container owned by the customer, in addition to maintaining the archive within Comma.
Security and transparency
Comma encrypts data in transit using TLS 1.2 or later and encrypts data at rest using AES-256. Encryption keys are managed through AWS KMS and Azure Key Vault.
Comma operates across Amazon Web Services and Microsoft Azure. Records are stored in the United States by default, with other regions considered for enterprise deployments.
The capture code for WhatsApp, Signal, and Android is published as open source. This allows security teams and outside counsel to inspect how communications are collected.
Comma also maintains a public service status history.
Comma encrypts data in transit using TLS 1.2 or later and encrypts data at rest using AES-256. Encryption keys are managed through AWS KMS and Azure Key Vault.
Comma operates across Amazon Web Services and Microsoft Azure. Records are stored in the United States by default, with other regions considered for enterprise deployments.
The capture code for WhatsApp, Signal, and Android is published as open source. This allows security teams and outside counsel to inspect how communications are collected.
Comma also maintains a public service status history.
AI activity
As regulated firms adopt AI tools, Comma can retain AI activity alongside other business communications.
Arc Relay, Comma's open source control plane for the Model Context Protocol, records activity performed by AI agents. ChatGPT conversations can also be captured as a business communication channel and retained alongside other communications.
As regulated firms adopt AI tools, Comma can retain AI activity alongside other business communications.
Arc Relay, Comma's open source control plane for the Model Context Protocol, records activity performed by AI agents. ChatGPT conversations can also be captured as a business communication channel and retained alongside other communications.
Users and practical business value
Comma is designed for RIAs, broker-dealers, hedge funds, wealth managers, healthcare organizations, public agencies, and other regulated teams.
Chief compliance officers and compliance teams use Comma for communications supervision, review, reporting, and examination preparation. Reviewers work assigned queues and document decisions. Legal and investigations teams use the archive, timelines, cases, legal holds, and exports to investigate events and respond to e-discovery requests. IT and security teams manage integrations, access, retention, and data delivery. Employees connect their own communication accounts, while outside auditors can receive controlled, time limited access.
By bringing communication capture, supervision, investigation, exam preparation, and evidence production into one system, Comma helps regulated organizations reduce fragmented archives, establish more consistent review processes, maintain an auditable record of supervisory decisions, and respond more efficiently when regulators, auditors, legal teams, or other authorized parties request communications.
Comma is designed against SEC 17a-4, FINRA 4511, CFTC 1.31, and MiFID II electronic recordkeeping requirements. Comma provides the records and evidence; each firm's supervisory and regulatory obligations remain with the firm.
Comma is designed for RIAs, broker-dealers, hedge funds, wealth managers, healthcare organizations, public agencies, and other regulated teams.
Chief compliance officers and compliance teams use Comma for communications supervision, review, reporting, and examination preparation. Reviewers work assigned queues and document decisions. Legal and investigations teams use the archive, timelines, cases, legal holds, and exports to investigate events and respond to e-discovery requests. IT and security teams manage integrations, access, retention, and data delivery. Employees connect their own communication accounts, while outside auditors can receive controlled, time limited access.
By bringing communication capture, supervision, investigation, exam preparation, and evidence production into one system, Comma helps regulated organizations reduce fragmented archives, establish more consistent review processes, maintain an auditable record of supervisory decisions, and respond more efficiently when regulators, auditors, legal teams, or other authorized parties request communications.
Comma is designed against SEC 17a-4, FINRA 4511, CFTC 1.31, and MiFID II electronic recordkeeping requirements. Comma provides the records and evidence; each firm's supervisory and regulatory obligations remain with the firm.
- No, Comma Compliance does not offer a free version.
- Yes, Comma Compliance offers a free trial.
- No, Credit Card details are not required for the Comma Compliance trial.
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Comma Compliance supports the following payment frequencies:
- Annual Subscription , Monthly Subscription
- No, Comma Compliance does not offer an API.
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Comma Compliance can be integrated with the following applications:
- Webex , Google Meet , Jira , Google Workspace , HubSpot CRM , Slack , Zoom Meetings , Twilio , Microsoft Outlook , Microsoft 365 , RingCentral Video , Fireflies , Twitter/X , Bloomberg Terminal , TikTok , Azure Blob Storage , RingCX
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Comma Compliance offers support with the following options:
- Email , Chat , Knowledge Base
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Comma Compliance offers training with the following options:
- Webinar , Documentation , Videos
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Comma Compliance supports the following languages:
- English , Spanish
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Following are the typical users of the Comma Compliance:
- Small-Business
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Comma Compliance supports the following deployment:
- Cloud Hosted , On-Premise
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Comma Compliance supports the following devices and operating systems:
- Web-Based , iPhone , Android , Windows , Mac
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