Simplify financial services compliance and governance.

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Preserve and monitor communications for financial services compliance.

Regulatory compliance for financial services is highly complex. Organizations like FINRA, FCA, and SEC have specific and intensive requirements for capturing, retaining, and supervising business communications. With integrated solutions from Veritas, you can easily govern and protect your data in ways that ensure compliance and mitigate the risk of costly fines.

Top challenges to achieving financial services compliance.


in fines issued to Wall Street firms for misuse of WhatsApp communication in 2022 alone.1


of professionals report potential surveillance gaps due to the number of communications channels.2


of organizations have experienced a cyber incident that impacted their ability to meet governance requirements.3

Enable end-to-end communications compliance.

Stay ahead of financial services compliance obligations with a holistic approach.

Optimize Discovery

Manage content across all native channels with full context and fidelity.

Automate with AI

Accelerate and automate workflows while identifying critical communication data.

Enhance Data Retention

Store and manage relevant data in a non-rewritable and immutable archive.

Accelerate Review

Surface relevant content to assess for monitoring and investigative needs.

Optimize discovery outcomes and minimize compliance risk.

Financial organizations share enormous volumes of content across numerous communication channels every day. Managing proper data capture, collection, and retention for financial services compliance can be complex and expensive.

  • Leverage data capture across all native electronic communication channels.
  • Collect data across email, mobile, social, IM, collaboration, video, and voice tools.
  • Minimize compliance risk by using existing cloud infrastructure instead of relying on third-party integrations.

Automate compliance with AI and advanced file analytics.

Use advanced file analytics and automated data classification based on expert-trained systems and AI to make decisions about compliance risks.

  • Seamlessly identify risks associated with files and data types upon ingestion.
  • Use AI and natural language processing to make more informed decisions.
  • Customize patterns and policies to minimize compliance risks based on departments, locations, and regulations. 

Enhance compliance with immutable data archiving.

Seamless data archiving and retention enable you to automate identification of key content. This is vital to maintaining regulatory compliance for financial services organizations.

  • Safeguard data retention information to meet regulations.
  • Identify and prioritize archived content to simplify supervision workflows.
  • Preserve unstructured file types and data for future discovery needs.

Accelerate financial services compliance with AI-powered review.

Use built-in automation, AI, and ML to quickly focus on risky behavior, isolate relevant content, and align to legal and compliance issues.

  • Automate supervision processes for more efficient review.
  • Surface critical data and identify the relevance of flagged items during review.
  • Quickly locate data for discovery, privacy, investigative, and legal challenges.
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Enhance Surveillance and Risk Detection with AI

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

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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

Manage regulatory compliance for financial services with these industry-leading products.

Veritas Alta™ Surveillance

Fast, effective regulatory compliance with AI-powered supervision.

Veritas Alta™ eDiscovery

End-to-end eDiscovery as a service in the cloud.

Talk to an expert today

Discover what Veritas can do for your organization.