A compliance badge on the label does not guarantee secure code. (See TM SGNL breach) Vet archiving vendors like you vet custody & trading systems. Transparency wins every time. commacompliance.com/post/open-sour…
Per-message pricing is just a fine with extra steps. Flat-fee means compliance without the nickel-and-diming. We like transparency - every time.
Zero mistakes isn’t realistic. Zero cover-ups is. An ‘oops culture’ + compliance software means small slips turn into proof of accountability - not liabilities. Transparency > perfection. commacompliance.com/post/oops-cult…
commacompliance.com
How Compliance and Risk Management Software Supports an Oops Culture | CC Insights
Mistakes happen. Learn how an “oops culture,” paired with compliance software and case management workflows, helps firms reduce risk, prove oversight, and build trust with regulators.
Which Compliance Team are you? The Clean-Up Crew: You deal with the mess after it happens. The Prevention Squad: You fix it before it breaks. The Ostrich: “If I don’t see it, it’s not a violation.
If your compliance strategy depends on banning popular apps, you’re already behind. Employees will find a way. Clients will expect convenience. Regulators will find the gaps. Book a demo → trescommacompliance.com
commacompliance.com
Comma Compliance - Compliance Management Software for SEC/FINRA Messaging
Comma Compliance makes WeChat, WhatsApp, Signal, and iMessage archiving for SEC compliance effortless. Capture over 30 channels, automate recordkeeping, simplify exams, and protect your firm’s...
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
commacompliance.com
Comma Compliance - Compliance Management Software for SEC/FINRA Messaging
Comma Compliance makes WeChat, WhatsApp, Signal, and iMessage archiving for SEC compliance effortless. Capture over 30 channels, automate recordkeeping, simplify exams, and protect your firm’s...
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…
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