Optimize regulatory compliance for financial services communications.

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Preserve and monitor communications for financial services compliance.

Ensuring regulatory compliance for financial services is complex. FINRA, FCA, SEC, and other global regulators have specific requirements for capturing, retaining, and supervising business communications. With Veritas solutions, you can effectively manage, protect, and govern customer and operational data, ensuring compliance while eliminating the risk of costly fines.

Top challenges standing in the way of financial services compliance.


in fines issued to Wall Street firms for misuse of WhatsApp communication in 2022 alone. (Source: Veritas)


of professionals report potential surveillance gaps due to the number of communications channels. (Source:


of organizations have experienced a cyber incident that impacted their ability to meet governance requirements. (Source: ESG) 

Enable end-to-end communications compliance.

Stay ahead of regulatory obligations with a comprehensive portfolio of integrated services.

Collect Everything

Capture and manage content across more than 120 channels with full context and fidelity.

Archive & Preserve

Store and manage content lifecycles in on-premises, cloud, and as-a-service environments.

Classify & Enrich

Classify content and enrich metadata with pre-built and customizable policies.

Automate & Review

Surface critical data and conduct surveillance review for monitoring and investigations.

Minimize compliance risk and optimize discovery outcomes.

Financial organizations share enormous volumes of content across numerous communication channels every day. Managing proper data capture, collection, and archiving activities that adhere to regulations can be expensive.

  • Leverage data capture across Bloomberg, Google, Microsoft 365, Salesforce, ServiceNow, and more
  • Access more than 120 data sources directly from Veritas Alta™ Archiving for seamless data capture and archiving
  • Minimize compliance risk by using existing infrastructure instead of relying on a third party

Enhance data compliance across every channel.

Seamless data archiving and retention enables automated identification of key content. This is vital to maintaining compliance for financial services organizations.

  • Safeguard data retention information in a single, searchable online repository within secure and private multi-tenant data centers
  • Synthesize intelligence across unstructured data sources to minimize business and compliance risk
  • Reduce costs with a consistent monthly subscription model
Noise reduction features within Veritas provided reductions of up to 80%. We used Veritas out-of-box policies to drive alerts, resulting in a 2,000% increase—including one severe violation that legacy techniques would have missed.
Large U.S. Financial Organization

Automate compliance across your entire data estate.

With automated data classification based on expert-trained systems and artificial intelligence, Veritas empowers you to make informed decisions regarding compliance risks.

  • Identify more than 1,100 data types using expert-trained patterns out of the box or customize your own
  • Leverage AI/NLP with language detection and sentiment analysis, plus advanced keyword conditions, regular expressions, exact data match, document similarity, and more
  • Test policies and view results with hit highlighting before putting them into full production

Streamline compliance with AI-powered supervision.

Leveraging built-in automation, AI, machine learning, and natural language processing, Veritas enables you to quickly focus on risky behavior, surface relevant content, and stay ahead of compliance obligations.

  • Drive efficiency with transparent policies that you can copy and modify to better serve specific requirements
  • Reinforce defensibility using classification-driven sampling with targeted review
  • Confirm regulatory compliance with guaranteed sample, random sample, and ad hoc searches
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AI-Powered Surveillance and Risk Detection

AI models will transform processes across sectors, including financial services.

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