Security and Data Protection at Tres Comma Compliance
At Tres Comma Compliance (TCC), your data security and privacy are our highest priorities.We protect your communications with industry-standard controls, trusted cloud infrastructure, and strict access governance, all designed to meet the expectations of SEC, FINRA, and global regulatory bodies.
You trust us to protect sensitive business communications. We take that trust seriously.
Platform Security Overview
Encryption at Every Stage
- All communications are encrypted in transit using TLS 1.2+ protocols and encrypted at rest with AES-256 encryption.
- We use cloud-native key management through AWS KMS and Azure Key Vault to control encryption keys securely
Authentication and Access Management
- Access to your data is protected by single sign-on (SSO) integrations, multi-factor authentication (MFA), and strict role-based access controls (RBAC).
- All user activity and administrative actions are logged in immutable audit logs.
Continuous Monitoring and Testing
- TCC conducts daily vulnerability scans, regular independent penetration tests, and proactive threat detection across all systems.
- Our platform is continuously monitored for unauthorized access attempts or suspicious behavior.
External Certifications
- SOC 2 Type I audit completed
- SOC 2 Type II certification underway
- Google OAuth CASA assessment passed for Gmail and Workspace integrations
Infrastructure and Data Storage
TCC is hosted across Amazon Web Services (AWS) and Microsoft Azure cloud environments, leveraging world-class security, compliance, and resiliency standards.
By default, client data is stored within the United States. Optional data residency is available in the EU or Asia-Pacific regions for clients with specific regulatory needs.
Our infrastructure Includes:
- Multi-AZ clustering and automatic failover
- Encrypted backups every six hours with 35-day retention
- Service uptime target of 99.9%
- Recovery Point Objective (RPO) of 15 minutes
- Recovery Time Objective (RTO) of under 4 hours
All archived messages are stored immutably using Write-Once-Read-Many (WORM) retention policies, ensuring compliance with SEC Rule 17a-4(f).
Additionally, all client data benefits from highly durable storage architecture, designed to provide 99.999999999% durability and 99.99% availability of objects over a given year, aligning with AWS’s highest standards for enterprise-grade data protection.
Data Ownership and Privacy
You retain full ownership of your data.
TCC acts as a secure custodian of your communications, using your information strictly to deliver archiving, compliance, and risk analysis services.
We never sell, rent, or share client data outside of authorized sub-processors directly involved in service delivery.
Privacy is protected at the point of capture. Our system automatically separates business-related communications from personal content, minimizing data exposure and respecting employee privacy rights.
AI-Driven Compliance Monitoring
TCC's AI engine scans more than 95% of archived content for potential policy violations in real time. Messages flagged for review are always subject to human validation before escalation.
Key Principles:
- AI assists but does not replace human oversight.
- Every flag includes a clear reason and reference to relevant policy.
- Clients can adjust, refine, and contribute feedback to improve detection models.
- No client-specific data is used for system-wide training without explicit consent.
Our automation enhances compliance efficiency while maintaining full transparency.
Regulatory Alignment
TCC’s platform is built to meet core requirements under:
- SEC Rule 17a-4
- FINRA Rule 4511
- GDPR and other applicable privacy regulations
We provide flexible retention periods, support for legal holds, full-text search, exportable archives (PDF, EML, JSON), and tamper-proof record integrity validated by cryptographic hash chains.
You stay audit-ready without extra manual overhead.
Contact and Security Reporting
For questions or concerns related to security, or to report a potential vulnerability, please contact: security@trescommacompliance.com