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Achieving Financial Compliance

Comply with regulations such as Dodd-Frank, FDCPA MIFID II, or GDPR

Meet financial compliance requirements for financial services and transform data into business value with AI analytics.

Financial Compliance regulations impose clear rules on which parts of your customer communication must be recorded, documented, and archived, and which ones are to be exempted. Not being compliant to these regulations can entail heavy fines up to the point of losing your license.

At the same time, the approach to customer communication has changed – more and more conversations and meetings are taking place online. Financial Compliance is becoming increasingly important for banks and the whole financial industry to remain competitive in the marketplace. Financial institutions must ensure that their customer communications are compliant and documented across all media on their communications platform, including voice, chat, shared screen, and video. Avoid costly compliance gaps by leveraging an intelligent recording, archiving, and analytics solution now.

Closing Financial Compliance Gaps and Mitigating Risks with AI Data Analytics

The need for process automation to ensure compliance in financial industry

To manage communication data efficiently and avoid compliance violations, banks, insurers and financial services need an automated financial compliance solution. This is made possible by AI-based data analysis.

Status Quo

Today, compliance teams manually monitor on average only less than 3% of all communication.


97% compliance risk.
Zero business insights.


Applying AI to monitor 100% of communication.


Less compliance risk. Valueable business insights.

Financial Compliance: Typical Requirements in the Finance Industry

Ensure compliance with the legal requirements of Dodd-Frank, MiFID II, and FDCPA. Avoid compliance gaps and leverage valuable data from your customer communication to improve your quality management and increase customer satisfaction. 

Compliant recording

All relevant parts of a conversation or meeting must be recorded and tracked.

Flexible recording rules

Complete control of who is recorded is a must, e.g., by user, user group, meeting owner, modality.

High availability

Fully parallel, tamper-proof, geo-redundant recording and storage ensures compliance recording at all times.

Highest security standards

Dual encryption of data and fully integrated user rights management to prevent unauthorized access to sensitive information.

Search, replay, monitoring & alerting

To meet regulatory requirements, a complete audit trail, powerful search, and easy replay of interactions are critical.

Retention periods

Data are securely stored in accordance with legal retention periods and automatically deleted upon expiration.

Turn Data into Insights and Mitigate Compliance Risks with AI

Want to ensure a secure and compliant documentation process for Dodd-Frank, FDCPA, MiFID II, GDPR and other regulations? This is how it works! Reliably capture all communication across all media and leverage leading AI and analytics tools to make your compliance processes fully automated and transparent. This approach strengthens your financial compliance and optimizes compliance management in the finance industry.

  • Compliance phrase spotting to spot mandatory compliance statements and alert omissions
  • Auto-categorize according to compliance relevance, and set retention periods accordingly
  • Transcription to document all compliance calls by speech-to-text
  • Risk alerting to automatically filter the entire communication and alert risks in real-time
  • Fraud Detection through 100% automated analysis of conversations
  • Compliance Recording to capture all media and immediately alert any deviation

Compliance made easy with solutions from ASC!

Meet regulations such as Dodd-Frank, MIFID II, or FDCPA

Our solutions provide comprehensive recording and analytics that enable banks, financial services companies, and insurers to ensure compliance with the latest regulations. Secure your business effectively, handle sensitive customer data with confidence, and minimize risk to protect your business and your customers' trust.

Customers and Partners Worldwide Trust in ASC

ASC partner

"With ASC Recording Insights, Microsoft Teams users can comply with complex regulatory requirements regarding recording and archiving 'with just one click' within Teams."

Mike Ammerlaan
Director of Microsoft 365 Ecosystem Marketing

ASC reference customer

"Recording Insights demonstrates what is possible in the modern-day technical landscape. It can be rightly described as the next generation solution."

Brian Fruh
Impax Asset Management

Comprehensive Information on our Compliance and AI Solutions for Financial Services

Use our wide range of resources to find out about the latest developments, areas of application and benefits of our solutions.