Industry Insight
The SEC’s $63 Million Reminder: Recordkeeping Failures Are Still Widespread
The SEC fined 12 major firms $63M for recordkeeping failures. Learn what went wrong, what regulators expect, and how firms can improve compliance.
Communications Archive
Communications recordkeeping for regulated firms
Argus Archive retains recorded calls and meetings under your retention policies, preserves them under legal hold, and retrieves any record on request, with every access in the audit trail.
Recordkeeping from retention to production
Retention and hold
Each record is kept for the period your policy sets, then deleted on schedule.
Periods by policy
Set retention by user, call type and content, from one day to 10 years.
Legal hold
A case's legal hold stops deletion until it is released.
Search and replay
Find any record by participant, date, metadata or what was said.
Search by meaning
Find calls by what was meant as well as the exact words.
Synchronized replay
Audio, video, screen share and transcript play back together, where captured.
AI analysis
Ask Argus AI questions across your records and get answers linked to the calls.
Transcripts hosted in the EU
Speaker-labeled transcripts from frontier AI models hosted in the EU.
Alerts on every call
Your rules check each call as soon as it ends, or live with the Real-time add-on, and file matches into a case.
Export and audit
Produce records and their transcripts when a regulator or court asks.
Export
Download a call's recording and transcript, or export the details of a search.
Audit trail
Every view and change to a record is logged.
Do more with your records
Flag risk during or right after the call
Rules check calls as soon as they end, or live with the Real-time add-on, and alert the right reviewer.
Write rules in plain language
Describe what to look for, test it on past calls, and assign it to the people it covers.
Build a case
Gather the calls for an investigation or request, place them on legal hold, and export them.
Read instead of listening
Speaker-labeled transcripts and summaries for every recorded call.
Records kept secure
Encrypted
Encrypted in transit and at rest, with recordings protected by a per-customer key stored in Azure Key Vault by default.
Data isolation
Strict data segregation: each customer's data is held in its own database and storage container, never shared or mixed with another customer's.
Entra ID authentication
Authentication with Microsoft Entra ID, so your MFA and Conditional Access policies apply.
Access by role
People see only the records their role and groups allow.
Audit trail
A clear chain of custody for every record, from capture to deletion.
Data residency
Records are processed and stored on Microsoft Azure in the European Union, with more regions to follow.
What is a communications archive?
A communications archive captures, stores and manages business communications in one central platform, so organizations can retain, search, replay and retrieve them for compliance, investigations and eDiscovery.
How long can records be kept?
Each retention policy sets a period from one day to 10 years. A legal hold keeps records past their period until it is released.
How quickly can a record be retrieved?
In seconds. Authorized users search by words, meaning, participant or metadata, then replay the result.
Which regulations does it help with?
Recordkeeping rules such as MiFID II, the FCA's rules, FINRA and SEC recordkeeping, and GDPR. Check your own obligations with your compliance advisers.
Do we need to run any servers?
No. Argus Archive is a cloud service on Microsoft Azure, and people sign in with their Microsoft work account.
How much does it cost?
Argus Archive is priced per user, per month, with usage included, and you're warned before you go over.
Worth reading
Recordkeeping enforcement and keeping voice records readable for years.
Industry Insight
When Recordkeeping Fails: What a Major CFTC Enforcement Action Means for Compliance Teams
Learn what a major CFTC enforcement action reveals about recordkeeping failures and how firms can strengthen communications compliance.
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