Conduct Risk Monitoring
Argus Archive checks recorded calls against your own rules, during the call or right after it, and alerts the right reviewer.
Recording every call is only half the duty. Rules such as MiFID II and the Consumer Duty also expect firms to review what was said and show what they found. A compliance team listening by hand can only hear a small sample, so most conduct issues surface later, as a complaint or a regulator's question.
You decide what each rule looks for, in plain language. Common starting points:
Returns promised, risks played down, or terms left out.
A product pushed before the client's needs are checked.
Client data or deal details shared where they shouldn't be.
"Call me on my mobile", or "let's move this to WhatsApp".
Personal interests mixed with client business.
Anything your rules describe, from sales scripts to internal limits.
Argus looks only for what your written rules describe, for the people you assign them to.
No emotion or voice recognition, and your data is never used to train AI.
Reviewers see only the alerts their role and groups allow.
Records are processed and stored on Microsoft Azure in the European Union, with more regions to follow.
Entra ID, MFA and Conditional Access protect every login.
The audit log shows who viewed, escalated or closed each alert.
Describe what to look for in plain language and add your business context. Test it on past calls, then assign it to the people it covers.
Alerts arrive while the call is live with the Real-time add-on, or after it ends. A rule can also send a message in Microsoft Teams.
Open the recording, its transcript and its summary from the alert. Transcripts come from frontier AI models hosted in the EU.
Escalate the alert to a colleague, or close it as resolved or dismissed. Each needs a reason, and every step goes into the audit log.
Only what your rules describe, such as advice, promises or client data, in the calls of the people each rule is assigned to. It has no emotion or voice recognition.
No. Rules use large language models to understand what was meant in context, so they catch risks that keyword lists miss and raise fewer false alarms.
Yes. Run it against past calls first, review the results, then publish it.
Yes, for users with the Real-time add-on. For everyone else, calls are checked after they end.
Each recorded user needs a license Microsoft lists as eligible for compliance recording.
Argus Archive is priced per user, per month, with usage included, and you're warned before you go over.
Monitoring, inspections and what AI changes for conduct reviews.
Technology & Innovation
Learn how real-time AI transcription and analytics improve compliance monitoring, detect risks early, and strengthen communications surveillance.
Industry Insight
Explore the AMF's SPOT inspection findings on MiFID II communication recording, governance gaps, and regulatory expectations for firms.
Industry Insight
Learn how the FCA's Mills Review impacts communications archiving, surveillance, AI governance and regulatory compliance in financial services.
Ready when you are
Book a demo with the team who built it. We will show you capture, search and review on Microsoft Teams, and answer your compliance questions.
