Institutionalize Your Communications Architecture.
Your advisors are texting clients. CIRO and the SEC know it. We deploy compliant VoIP infrastructure integrated natively with Salesforce FSC—automating communication capture and establishing absolute regulatory permanence.
Free Communications Audit
Find out if your firm is exposed. 15-minute assessment, no obligation.
Use the form on our Contact page to request a Technical Discovery call. We respond within one business day.
Request Technical DiscoveryWe respond within 1 business day.
The Undocumented Operations Liability.
Regulators no longer accept manual attestation. If an advisor communicates with a client via personal device, WhatsApp, or unlogged phone call, your firm is exposed. You cannot manage this risk with policy; you must manage it with architecture.
Personal Phone Texts
Advisors texting clients from personal devices. No capture, no archive, no audit trail. CIRO, SEC, or FINRA violation.
WhatsApp & Signal
Encrypted messaging apps popular with clients but impossible to supervise natively. Massive regulatory blind spot.
Unlogged Phone Calls
Client calls on personal lines with no CRM record. When your regulator asks for the communication history, you can't produce it.
Automated Regulatory Capture, Built Into FSC.
We eliminate the reliance on advisor memory. Our architecture captures, logs, and analyzes communications natively within your Salesforce environment.
Off-Channel Audit
Find out exactly where your firm is exposed. We assess current communication channels and identify compliance gaps.
- CIRO & SEC gap analysis
- Written remediation roadmap
AI-Powered Compliant VoIP
Business phone system with AI transcription, automatic CRM logging, and compliance capture built in.
- AI transcription of all calls
- Salesforce/CRM integration
- Compliant SMS capture
Mobile Office + AI Supervision
Complete solution for mobile advisors: FSC + VoIP + AI-powered compliance supervision.
- Everything in VoIP Setup
- AI compliance flagging
- CCO supervision workflows
Govern the Next Frontier: Shadow AI.
Advisors are feeding client portfolios into public LLMs. The SEC’s examination priorities now explicitly target AI governance frameworks. We architect the policies and monitoring systems required to mitigate unauthorized AI usage.
Client Data in ChatGPT
Advisors entering names, portfolios, and situations into public AI. That data may enter training sets used by millions.
No Governance Policy
SEC priorities: "Whether firms have implemented adequate policies to monitor or supervise their use of AI."
Same Pattern as Texting
Firms ignored texting risks for years. $3B in fines followed. AI governance is at the same stage texting was in 2019.
AI Governance Quick-Start
Get ahead of the next enforcement wave. We help you implement AI governance before regulators ask for it.
- Written AI usage policy (approved vs. prohibited tools)
- Employee training on AI compliance
- Monitoring framework for unauthorized AI usage
- Incident response plan for data leakage
Built for North American Financial Professionals
Wealth Advisors
CIRO, SEC, and FINRA-regulated firms with 20-100 advisors.
Mortgage Brokers
FSRA-licensed brokerages handling complex renewals.
Independent Advisors
Solo or small team practices needing institutional grade tools.
CCOs & Compliance
Compliance officers seeking audit-ready automated systems.
From Assessment to Audit-Ready in Weeks
Free Assessment
15-minute call to understand your current communications setup and compliance gaps.
Architecture Design
We map the right VoIP and Salesforce integration for your firm size and workflows.
Implementation
We deploy your compliant infrastructure with automatic logging and capture.
Training & Launch
Your team learns the new system, and we provide ongoing optimization support.
Common Questions
- What counts as "off-channel" communication?
- Any business communication that isn't captured in your firm's approved recordkeeping system. This includes personal texts, WhatsApp, Signal, personal email, and phone calls from personal devices. If your regulator asks for a record and you can't produce it, it's a violation.
- Do we need to replace our current phone system?
- Not necessarily. Depending on your current setup, we may be able to add compliant capture to your existing system. During the assessment, we'll evaluate what you have and recommend the most cost-effective path to compliance.
- What if advisors resist using new tools?
- We architect systems that are easier to use than personal phones. When advisors see they can call and text from their CRM with one click—and never manually log anything—adoption follows quickly.
- Does this work for both Canadian and US regulations?
- Yes. The communication logging and supervision workflows satisfy both CIRO requirements in Canada and SEC/FINRA books and records requirements in the USA.
- What is "Shadow AI" and why should I care?
- Shadow AI is when employees use public AI tools with client information without firm approval. The SEC's exam priorities explicitly include reviewing whether firms have AI usage policies. It's the same pattern as off-channel communications—if you don't have governance before regulators ask, you're exposed.
- How does AI-powered supervision work?
- Instead of manually sampling 5% of calls, AI transcribes and analyzes 100% of calls automatically. It flags potential compliance issues (suitability concerns, complaints, regulatory language) for CCO review. You get complete coverage with human oversight.
- How long does implementation take?
- A basic VoIP setup with CRM integration typically takes 2-4 weeks. The full Mobile Office Bundle with FSC timeline depends on your scope—we'll give you a precise technical roadmap after discovery.
Ready to Secure Your Communications Architecture?
Stop relying on manual compliance. Schedule a technical discovery call to evaluate your off-channel exposure and map your integration roadmap.