Data Capture Solutions for Financial Services

Financial institutions face a growing challenge: business communications now happen across multiple platforms — from voice systems and trading turrets to collaboration tools like Microsoft Teams and Cisco Webex and mobile messaging.

Regulators expect firms to capture, retain and surveill these communications to demonstrate compliance, investigate disputes and respond to regulatory enquiries. Yet many organisations still operate fragmented communication environments combining legacy systems, cloud platforms and specialised trading infrastructure, as well as new communication technologies coming into play.

Unleashing Unmatched Benefits

Custodia CC1 services enable financial institutions to capture communications across multiple communication systems and ensure records are retained in a secure, auditable format.

CC1 key capabilities include:

Hybrid Communication Capture

Capture communications across both cloud platforms and on-prem communication systems, supporting the hybrid infrastructure common in financial institutions.

Multi-Channel Communication Coverage

Capture communications across voice systems, collaboration platforms such as Microsoft Teams and Cisco Webex, messaging environments and legacy communication technologies real-time.

Data Validation and Reconciliation

Identify potential gaps in captured communications and ensure communication records remain complete and defensible for regulatory review.

Compliance-Ready Archiving

Maintain secure archives of communication data that can be accessed for investigations, audits or regulatory enquiries.

API Connectivity and Data Integration

Custodia’s platform also provides API connectors that enable captured communication data to be integrated into wider compliance, analytics and AI ecosystems.

Get Started with CC1

Who We Support in Financial Services

Custodia supports a wide range of global financial institutions typically operating in complex communication environments combining cloud collaboration tools, mobile communications, and specialised financial communication infrastructure such as trading turrets.

These organisations rely on Custodia to manage communications capture across complex technology environments while maintaining compliance with evolving regulatory requirements over many jurisdictions.

Enhance your compliance

Key Use Cases in Financial Services

Financial institutions rely on communication records for a wide range of operational and regulatory purposes.

Regulatory Compliance

Maintain reliable communication records that support regulatory obligations and supervisory frameworks – such as MiFID II, SEC 17a3 / 17a-4, FINRA and CFTC requirements.

Regulatory Audits and Data Validation

Provide regulators and auditors with defensible communication records supported by reconciliation and validation processes that demonstrate the completeness of captured communications.