Comma Compliance
@TresCommaComp
Whether you're navigating SEC 17a-4, FINRA 4511, or other global reg requirements, we make compliance simple, seamless, and secure.
The best time to strengthen your off-channel strategy is when everyone else hits pause.
The gov't may be shut down, but compliance risk isn’t taking PTO. Use the downtime strategically - & remember that SEC deadlines, filings, and recordkeeping obligations remain.
Regulators aren’t done with off-channel fines. Even approved tools can trigger violations without proper oversight. #Compliance #FINRA #SEC
BuT uNlImItEd UsAgE iS uNsUsTaInAbLe. -vendors who want to meter compliance software like it’s 2002. commacompliance.com/pricing
FINRA's fall cleaning: less busywork (bye endless outside activity reports) but don’t relax too much - more rule changes are coming. #Compliance #springcleaningbutmakeitFinra #regtech finra.org/media-center/b…
In compliance, it’s not about avoiding every “oops” but about how you catch, track & learn from them. Build an #OopsCulture: open reporting + smart software = stronger trust & resilience. #RegTech
Oops culture: because hiding mistakes is more expensive than making them. commacompliance.com/post/oops-cult…
Immutable storage: because regulators don’t accept ‘trust me bro’ as evidence. #SEC17a4 #compliancetech #regtech #commacompliance commacompliance.com/post/sec-rule-…
It’s National Compliance Officer Day! Affirmation of the day: “I am the reason your WhatsApp group chat might won't be an exhibit in an SEC hearing. I archive business messages. I keep the receipts.” 📱⚖️
Happy National Compliance Officer Day 🎉 Remember: “Read & Accept” is just corporate for “Skim & Ignore.” Stay strong, heroes. #regtech #compliance #fintech
Happy National Compliance Officer Day 🎉 Remember: Without compliance, your startup is just one Slack DM away from starring in a FINRA enforcement press release. TGFCOAF (thank god for compliance officers and fridays)
The WhatsApp Business API is crowded. The real blind spot? Teams of 20–100 still using personal WhatsApp where the convos (and risks) really are. Supporting personal WhatsApp responsibly is the real gap. 👋 commacompliance.com
We'll be hosting a joint roundtable with @CFTC on Sept. 29 to discuss regulatory harmonization priorities between our agencies. Here are the details: sec.gov/newsroom/meeti…
Every off-channel fine in the headlines hides a deeper story. Culture. Leadership. Blind spots. It’s never just the tech stack. It’s the people. Stop trying to change your people - recognize that people will communicate in the easiest way possible. #compliance #complianceregs
Every company has shadow IT. But do you also have shadow messaging? WhatsApp. Signal. iMessage. Slack. If you’re not supervising them, you’re not supervising. We can help. #regtech #compliance #commacompliance
Remote work didn’t kill compliance. It just made it messier. Different tools. Different time zones. Same responsibility. People need room to work the way they work. Regulators still expect the receipts. The firms that figure out both? That’s who lasts.
Is a $10K fine + 45-day suspension worth it? Not because a rep used his personal phone… but because the firm couldn’t preserve the business texts. (Cue FINRA sanctions) Use the phone you want. Just make sure it’s compliant.
The Crypto Task Force announced it will host a public roundtable on financial surveillance and privacy on Friday, October 17 from 1 p.m. to 4 p.m. at the SEC headquarters. For more: sec.gov/newsroom/press….
The weirdest part of messaging compliance is how often it’s talked about like a software issue. It’s not. It’s a habit & trust issue. ...Tech just happens to be part of the fix. #regtech #SECArchiving #finraarchiving
Compliance isn’t a luxury service. FINRA + SEC don’t care how much you message. They care if you archived the right ones. Flat fee pricing means you never pay extra to stay compliant. commacompliance.com/post/flat-fee-…
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