Financial Services Compliance Software
One archive of record for a regulated firm: every business communication captured, retained against the rule that governs it, supervised by policy, and produced on demand — with an audit trail an examiner can be walked through.
Sealed, hash-verified records · Built for SEC 17a-4, FINRA, HIPAA & CJIS programmes · Email, Teams chats, Drive, AI assistants & more
What is financial services compliance software?
Financial services compliance software captures and retains a firm's business communications, applies the retention periods its regulators require, reviews them against supervisory policy, and produces them when an examiner or court asks. For a broker-dealer it is the system that answers three questions: can you preserve the record, can you show it is unaltered, and can you find and produce it inside the deadline. Grotabyte does all three from one archive, so the record you supervise is the record you produce.
Key capabilities
Why Grotabyte for financial services compliance
- Ethical walls enforced at a single engine accessor, so a screened reviewer sees only the matters they are on
- Dual control on the destructive paths — purge, erasure, and hold release each need a second approver
- GDPR Article 17 erasure with dual control; a refusal under legal hold is ledgered with its legal basis
- Billing metered from the same ledger that records access, so the invoice and the audit trail cannot disagree
Frequently asked questions
Does this satisfy SEC Rule 17a-4?
Rule 17a-4(f) lets a firm meet the electronic records requirement either by storing records in non-rewriteable, non-erasable form or, since the 2022 amendments, by maintaining an audit trail that allows the original record to be recreated. Grotabyte implements the second: records are sealed and hash-verified on a tamper-evident, hash-chained ledger, with every view, query, and export recorded. Storage-level retention locking is available on request if your programme calls for it.
What does FINRA Rule 4511 require?
FINRA 4511(c) requires books and records to be preserved for at least six years where no other period is specified, in a format that complies with SEC 17a-4. Grotabyte ships a 4511(c) retention template with that citation attached, disabled until you enable it.
Which communication channels can you capture?
Microsoft 365 — Exchange Online mail, OneDrive, SharePoint, and Teams 1:1 and group chats — Google Workspace mail and Drive, on-premise Exchange including journal mailboxes, any IMAP or POP3 mailbox, and Claude Enterprise AI conversations through Anthropic's Compliance API. Legacy material imports from PST, OST, EML, MSG, MBOX, EMLX, and DXL.
How fast is search across a large archive?
Fast enough to work in, not just to report on: a reviewer refines queries interactively rather than submitting a search and coming back. Record lookup is direct by document identity — no scan — and the index is built to grow with the archive, not to degrade as it does. Ask for a demonstration on data at your scale; we would rather show a measurement than publish one you cannot verify.
See financial services in action
Book a personalized demo and see how Grotabyte fits your data sources and compliance requirements.