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  • Key capability

WORM-compliant 17a-4 / 204-2 archiving with instant, searchable retrieval

Books and records is where an examination either ends quickly or does not. Compass holds your records under a write-once, read-many regime that satisfies SEC Rule 17a-4 for broker-dealers and Rule 204-2 for registered investment advisers and makes every retained item retrievable the moment a regulator, an auditor, or your own supervisor asks for it.

  • Retention

WORM-compliant 17a-4 / 204-2 archiving

Communications, email/IM, trade records, procedures, attestations, and filings are captured in place and preserved in a non-rewriteable, non-erasable format for the full required retention period. Nothing is edited after the fact; each version is retained with its own timestamp and lineage, so the record you produce in year five is provably the record you created in year one.
  • Retrieval

Instant, searchable retrieval

Every archived item is indexed on capture and searchable across custodian, date range, channel, account, security, and rule citation. A request list that once meant a coordinated pull from mail archives, the OMS, the CRM, and a shared drive resolves in a single query against one system of record with the results already packaged as exam-ready output.
  • Native AI, not bolted on

Reasons from your firm's policies, not a generic template

Your policies, records, and regulatory obligations live in one connected system so the AI always reasons from your firm’s reality, not a generic template. When it is asked what must be retained, for how long, and under whose supervision, it answers from your written supervisory procedures and the live FINRA/SEC rule set that applies to your registration not from a boilerplate compliance manual it has never seen your firm operate under.

That grounding is what makes its output usable. It drafts deficiency-letter replies, exam request lists, and memos citing your own procedures and the underlying records. It surfaces surveillance anomalies against your books and explains the ‘why’ in plain English. It reads regulatory changes and maps each one to your obligations, including the recordkeeping obligations those changes create.
  • In context

Everything a compliance program runs on unified, automated, and exam-ready

Continuous surveillance

Communications, email/IM, and trade surveillance with AI anomaly detection.

Books & records

WORM-compliant 17a-4 / 204-2 archiving with instant, searchable retrieval.

WSP & policy management

Living written supervisory procedures with version control, mapped to rules.

Attestations & code of ethics

Automated employee attestations, personal trading, and gifts & entertainment.

Exam & deficiency response

Request-list workflows, deficiency tracking, and AI-drafted regulator responses.

AML / KYC monitoring

Transaction monitoring, risk scoring, and a streamlined SAR workflow.
  • In context

Everything a compliance program runs on unified, automated, and exam-ready

60%

less time spent on surveillance review and recordkeeping

Hours

to assemble an exam request list not weeks

1 view

of every obligation, attestation, and open item

 

Day one

audit trail every action defensible by design
Sixty percent less time on surveillance review and recordkeeping, and an exam request list assembled in hours rather than weeks, because the evidence was never scattered: every action taken in the platform became an exam-ready record as it happened.
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