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Average Ratings 0 Ratings

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ease
features
design
support

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Description

Comma Compliance is an advanced compliance management solution designed for financial firms that need to monitor and archive communications across modern messaging platforms. It supports over 35 channels, including iMessage, WhatsApp, LinkedIn, Gmail, and Bloomberg, ensuring complete visibility into business communications. The platform uses AI-powered filtering to separate personal and business contacts, allowing employees to use their preferred apps without compromising privacy. Real-time policy enforcement detects and flags potential violations instantly, helping organizations stay compliant with SEC and FINRA regulations. Unlike legacy systems built for email, Comma Compliance is purpose-built for today’s communication landscape, capturing conversations where they actually happen. It eliminates the need for workarounds or forcing employees into outdated tools, improving adoption and accuracy. Automated archiving and audit-ready records ensure firms are prepared for regulatory scrutiny at any time. The platform also includes case management and policy processing features to streamline compliance workflows. With fast setup and minimal disruption, organizations can implement it quickly and start reducing risk immediately. Comma Compliance empowers compliance teams to proactively manage communication risks while maintaining operational efficiency.

Description

Luthor delivers automated, streamlined compliance for RIAs who need a powerful but easy-to-use platform to manage regulatory responsibilities. Its AI Marketing Review scans every piece of content—emails, social posts, ads, and website updates—to catch violations instantly and provide compliant replacements. Advisors get SEC 17a-4 compliant archiving, omnichannel monitoring, and a centralized dashboard showing firm-wide compliance health at a glance. Employees can submit outside business activities, political contributions, gifts, and certifications electronically, eliminating outdated spreadsheets and manual workflows. Luthor also includes a comprehensive policy library where firms can deploy templated, advisor-ready policies for cybersecurity, ethics, privacy, communication, and more. Built-in analytics provide visibility into risk trends, team activity, and audit readiness. SOC 2 Type II controls, immutable storage, and role-based permissions ensure that regulatory data stays secure and compliant. Luthor helps RIAs reduce costs, reclaim time, and operate with confidence in a continuously evolving regulatory landscape.

API Access

Has API

API Access

Has API

Screenshots View All

No images available

Screenshots View All

No images available

Integrations

Bloomberg
Gmail
LinkedIn
WhatsApp
iMessage

Integrations

Bloomberg
Gmail
LinkedIn
WhatsApp
iMessage

Pricing Details

$33/month
Free Trial
Free Version

Pricing Details

No price information available.
Free Trial
Free Version

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Vendor Details

Company Name

Comma Compliance

Founded

2025

Country

United States

Website

www.commacompliance.com

Vendor Details

Company Name

Luthor.ai

Founded

2024

Country

United States

Website

www.luthor.ai/

Product Features

Archiving

Access Control
Data Deduplication
Document Management
Email Archiving
Multimedia Archiving
Retention Management
Storage Management
Version Control
Web Archiving
eDiscovery

Email Archiving

Access Control
Backup Management
Compliance Management
Data Deduplication
Data Export
Encryption
Retention Management
Storage Management
Threat Protection
eDiscovery

Product Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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