Communications Compliance Resources
Communications compliance is the discipline of capturing, preserving, and supervising the messages your people send, so a regulator can see a complete and accurate record on request. It spans email, text, social, and chat, and it now reaches every device and app your team uses to do business.
Kaizen Ventures built this library to make those obligations clear. Inside you will find plain-English guides to the rules, the channels, and the tools, written for the compliance officers and IT leaders who carry the work. Each guide goes deep on one topic, so you can find the answer you need and act on it.
Why regulated firms trust Kaizen
Kaizen Ventures has spent more than two decades in corporate compliance software, helping regulated organizations meet their recordkeeping and supervision duties. We serve two worlds with the same rigor: financial services firms answering to the SEC, FINRA, and the CFTC, and government and education bodies answering to FOIA, FOIL, and open records laws.
We are a value-added reseller, not a single-product shop, so our guidance starts from your problem and not a pitch. We match the right capture and archiving tools to your environment, we support you through migration and offboarding even when a relationship changes, and we stay available for the long run. Clients leave on one product and return years later on another, because the relationship outlasts any single contract.
That posture shapes this library. The content here is educational first. It explains what the rules ask, where the common gaps open, and how firms close them, so you can make an informed decision on your own terms.
The tools behind the guidance
Kaizen brings together proven compliance technology and acts as the most experienced go-to-market team for Intradyn, a leading archiving platform. Around that core we deploy a focused ecosystem for capturing and retaining business communications:
Intradyn
For email, mobile, and social media archiving your team can search in one place.
SnippetSentry
For capturing business SMS, iMessage, RCS and WhatsApp.
Sausalito Labs
For capturing business SMS, iMessage, RCS and WhatsApp.
CellTrust SL2
For secure, compliant capture of Carrier SMS & App based BYOD/employee stipend.
Pagefreezer
For compliant website & Social Media archiving pushed to your archive.
DataParser
For bringing collaboration and chat platforms into your archive compliantly.
Explore the library
Capture and archiving essentials
- Off-Channel Communications: Keep Messages On Record See where business drifts to unmonitored apps, and how to bring every message back on record.
- How to Archive iMessage for Business Compliance Capture iMessage natively, so blue-bubble threads, reactions, and media stay preserved and searchable.
Financial services compliance
- Broker-Dealer Compliance: Keep Records Audit-Ready How the books-and-records rules treat business texts, so you keep every message audit-ready.
- RIA Compliance for Texting, Done the Right WayWhat the Investment Advisers Act expects when advisers text clients, and how to stay clean.
- FINRA Rule 3110: Supervise Mobile Texts Without the RiskBuild supervision to review mobile messages, so you can allow texting instead of banning it.
- SEC 17a-3 and 17a-4: Capture Texts the Right WayThe recordkeeping rules behind capturing and preserving business texts, in plain English.
- FINRA Retention Requirements for Texts and MessagesHow long to keep messages and how to preserve them, so nothing goes missing at audit time.
Government and public records compliance
- FOIL Requests for Government Text Messages. Respond to public records requests for official texts with a complete, defensible record.
Speak with a Solutions Team Expert
When you are ready to move from reading to doing, a Kaizen Solutions Team expert can map the right approach for your firm. Call +1-888-979-8880, and we will help you get compliant without ripping out what already works.