Communications archiving and surveillance tools for financial services

Archiving and surveillance platforms hold the records a regulator asks for. These listings summarise what each vendor states about capture, preservation and supervision, with notes on what to confirm, including whether AI meeting notes can be archived.

4 tools listed · Content last fact-checked: 7 October 2026

4 communications archiving tools

Not legal or compliance advice
G

Global Relay

Communications archiving

Cloud archive and communications governance platform covering email, chat, voice and 100+ data types, with AI-assisted classification and surveillance workflows.

SOC 2-auditedISO 27001
Compliance note

Global Relay says it was named a Leader in the October 2025 Gartner Magic Quadrant for Digital Communications Governance and Archiving Solutions, and documents a ChatGPT Enterprise connector for archiving AI conversations (as at 29 Sep 2026). It states data is stored in Canada or the U.S. depending on customer location, so confirm that fits your residency rules.

B

Behavox

Communications archiving

AI-powered communications surveillance and archiving platform covering voice and text, for financial institutions.

SOC 2 Type IIISO/IEC 42001 (AI)
Compliance note

Behavox says it never uses customer data to train or fine-tune models, and hosts single-tenant on Google Cloud with a choice of data-residency region (security page, undated). It announced WhatsApp and WeChat capture through TeleMessage in February 2021; its current pages do not mention those apps, so confirm coverage.

T

Theta Lake

Communications archiving

AI-based digital communications governance and archiving platform covering chat, voice, video and meeting artifacts, integrating with Zoom, Microsoft Teams, Webex and RingCentral.

Top-rated on Gartner Peer InsightsBroad platform integration
Compliance note

Santa Barbara-based, founded 2017. Strong reputation for eDiscovery and legal-hold workflows on top of archiving — worth a look if your firm needs to produce records for an investigation, not just retain them.

S

Shield

Communications archiving

eComms surveillance and compliance platform for financial services, combining archiving, supervision and AI-powered risk analysis across modern communication channels.

AI-powered risk analysisStrong analyst reviews
Compliance note

Tel Aviv-based, founded 2018. Positioned by reviewers as a strong all-in-one option combining surveillance and archiving rather than archiving alone — worth comparing against Global Relay or Behavox if you want both in one platform.

What to check before you choose

  • Capture coverage: which channels are covered, such as email, voice, chat, collaboration tools and meeting content, including AI-generated notes.
  • Preservation: whether records are kept in a non-rewriteable form or with a complete audit trail, where rules such as SEC Rule 17a-4 apply.
  • Retention and legal hold: configurable periods, holds, and evidenced deletion.
  • Supervision features: how surveillance and review are done and how reviews are recorded.
  • Search and production: how quickly you can find and export records for a regulator.
  • Connectors for AI note-takers: check current vendor documentation and test with a real meeting before rollout.

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Each badge reflects what a vendor states in its own documentation, not an independent audit by Attestly. Where a vendor offers a referral or affiliate program, we may earn a commission if you sign up through a link on this site. That does not change how tools are described. See how ratings work.