CAPABILITY

Regulated Communications

Recording, retention, supervision, and governance by design.

Regulated organizations must protect communications while maintaining supervisory visibility, recording, retention, auditability, and defensible evidence. ShieldiT FSX and SentinelIQ address that requirement together.

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Recording and retention

Policy-driven call and video recordingEncryption in transit and at restRole-based recording controlsRetention by role, desk, or channelExport to established archivesImmutable audit information

Supervision

Risk-based reviewPolicy-based samplingRandom samplingReviewer queues and notesEscalationEvidence taggingException tracking

Programs supported

FINRA communications supervisionSEC Rule 17a-4 retentionGLBASOXFFIECPCI DSSMiFID II where applicable

Ecosystem

Microsoft PurviewSmarshGlobal RelayeDiscovery platformsCustomer-designated archives

ASPIS capabilities support customer compliance programs. They do not, by themselves, establish organizational compliance.