New integration enables users to capture, review and organize AI notetaker data seamlessly, in accordance with current FINRA and SEC regulations.
Archive Intel, an AI-powered communications compliance platform for financial institutions, announced an integration with Zocks, the privacy-first AI platform for financial services.
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SEC and FINRA regulations treat records generated by AI notetakers as electronic client communications that firms must review and retain for five years. Through the integration, data from Zocks automatically flows into Archive Intel, which contextually reviews AI-generated transcripts and notes, flags potentially non-compliant language and archives the records for streamlined, audit-ready access.
“Archive Intel gives Zocks users a secure way to capture, review and retain data from their AI assistant,” said Larry Shumbres, founder and CEO of Archive Intel. “This integration addresses that need by helping wealth management firms strengthen compliance oversight, organize critical records and reduce the risk of costly violations.”
Archive Intel clients can activate the Zocks integration through the Archive Intel platform for $12 per user per month. Once connected, the platforms automatically sync to capture, review and archive Zocks data.
“Managing compliance across a growing number of client communication channels is a significant challenge for wealth management firms,” said Mark Gilbert, co-founder and CEO of Zocks. “By integrating with Archive Intel, we are giving firms a more efficient way to review and retain AI-generated records as part of their existing compliance workflows.”
This partnership marks the latest addition to the firm’s expanding ecosystem of integrations designed to modernize compliance by connecting with the everyday tools and platforms that financial advisors rely on.
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