Compliance That Moves at Market Speed
Banks, broker-dealers, and investment firms operate in the most heavily regulated environment. SEC, FINRA, MiFID II, and GDPR demand strict recordkeeping, fast retrieval, and audit-ready evidence. Yet the explosion of digital communication—from email to mobile chat—has made compliance harder than ever.
Challenges
- SEC 17a-4 and FINRA require immutable, WORM-compliant archiving.
- MiFID II and GDPR mandate retention, minimization, and right-to-erasure workflows.
- Traders, advisors, and clients now communicate across email, Bloomberg, WhatsApp, Teams, and more.
- Regulators expect complete, fast responses—delays cost millions in fines and reputational damage.
How Grotabyte Helps
- Immutable Archiving: SEC 17a-4 and FINRA-compliant storage, tamper-proof and audit-ready.
- Comprehensive Capture: 60+ data sources including email, Bloomberg, WhatsApp, Teams, Slack, and mobile.
- Fast eDiscovery: Semantic search and export in regulatory formats.
- Retention & Deletion Policies: Automate retention, defensible deletion, and right-to-erasure.
Benefits
- Lower exposure to sanctions and penalties.
- Reduced compliance costs with automation.
- Faster audits and regulatory responses.
- Protected client trust.