That message wasn't flagged.
But it should have been.
TCC’s Policy Matching scans iMessage, WhatsApp, LinkedIn, Gmail, Microsoft 360, and Bloomberg Chat in real time, flagging messages that cross the line before they become compliance liabilities.
Risky messages don’t wait for manual reviews.
Because “we didn’t know” doesn’t hold up in an audit.
When an unflagged message slips through, it's not just a communication error.
It's a potential SEC or FINRA compliance violation under rules like 17a-4 and 3110.
TCC helps compliance teams protect what matters: your reputation and your ability to serve clients without fear of audit fallout.
Whether it’s an over-confident earnings claim or a seemingly harmless message about a “guaranteed return,” if it’s on your watchlist, we’ll surface it.
Your team moves fast.
So do regulators.
TCC’s Policy Matching scans business communications in real time, catching messages that violate policy before they turn into regulatory trouble
We support monitoring
across:
- Gmail & Microsoft 365
- iMessage
- Bloomberg Chat
Internal Policy Violations:
“I can get this approved faster if we just backdate the request.”
Regulatory red flags:
“I promise you’ll see a bump in Q3.”Conflicts between policy and practice:
"If you go with it by Friday, I get a bonus, but honestly, I’d recommend it either way."
Policy Matching at Work
TCC continuously monitors your key communication channels using our standard policies, including SEC and FINRA compliance. Want to bring your own rules? You can easily integrate your custom policies alongside ours.
Every message is automatically evaluated against these policies. If anything looks off, it's flagged in real time. We also run spot checks on other content to ensure you're meeting review requirements, while constantly refining your custom matching algorithm.
Instead of spending time manually reviewing everything, your team focuses only on what matters: the flagged items. No more overlooked violations. Just streamlined, smart compliance.
Privacy Comes First
We only flag content tied to real policy.
Your team’s private messages stay private.