Global regulators such as the SEC, FINRA, FCA, and ESMA mandate financial firms to monitor and retain in-scope electronic communications (SEC 17a-4, 204-2, Dodd-Frank Act, MiFID II Article 16(7), MAR, SYSC 10A, Market Watch 66). Non-compliance with monitoring requirements risks fines, reputational damage due to missed risk, and operational inefficiencies across your business.

Gryphon Compliance has partnered with Fingerprint Supervision to offer clients a best-in-class, expert-led, risk-targeted electronic communications monitoring solution for regulated financial firms.

This partnership combines Gryphon’s compliance expertise with Fingerprint’s advanced supervision technology, delivering comprehensive oversight across all communication channels—email, chat, voice, and collaboration platforms like Teams, Slack, Bloomberg, and ICE Chat.

In-house monitoring often relies on manual sampling—covering roughly 3% of total communications—leaving significant risk exposure. By contrast, Gryphon Compliance’s outsourced monitoring powered by Fingerprint provides 100% coverage and automated risk detection using AI-driven analytics.

Whether a standalone or a fully-outsourced engagement, our platform delivers holistic oversight and risk management designed to detect potential financial crime and misconduct, identify undisclosed conflicts of interest, mitigate regulatory and legal risks, and protect your firm’s reputation resulting in improved client relationships.