For financial services
Let your people use secure apps, keep the records your regulator requires.
Your clients and staff are already on encrypted messengers. Nota lets you bring those conversations into your books and records, without asking anyone to give up the real app.
What's at stake
Off-channel messaging has become an expensive problem.
SEC civil penalties for recordkeeping failures in fiscal 2024, across more than 70 firms.
A ban only helps if people follow it, and enforcement has shown that plenty of them don't. Giving people an approved way to use the apps they prefer is a stronger position than a policy nobody can verify.
How Nota helps
Built around the way compliance teams work.
Supervised review
Your reviewers search a defined person and date range, only after two records officers approve the request. Every step is on an audit trail.
Records that hold up
A tamper-evident chain covers every record. Add a retention lock of up to 30 years, and nobody can change or delete a locked record before its term ends.
Coverage you can show
See who was covered and when, with every gap recorded. Signed coverage records are ready when someone asks.
Exports you can defend
Hand over messages and attachments with a proof file that verifies offline.
Deleted messages stay archived
Edits, deletions and disappearing-message settings are recorded, and the archived original stays.
Lexicon review and sampling
Review queues that fit your written supervisory procedures.
PlannedNota is designed to support your obligations under SEC Rule 17a-4 and FINRA Rules 3110 and 4511. It supports your compliance program, and your counsel decides how each rule applies to your firm.