The Communication Can Be Encrypted and Still Create Risk.
Encryption protects the message in transit. It does not answer whether the device was compromised, whether the channel was permitted, or whether the interaction can be reconstructed for a regulator two years later.
THREAT VECTORS
SIM SWAPMOBILE PHISHINGCOMPROMISED DEVICEUNREGULATED MESSAGINGACCOUNT TAKEOVER
REGULATORY LAYER
RECORDINGRETENTIONSUPERVISIONAUDITABILITYeDISCOVERY
THE PROBLEM
The problem financial institutions actually have
Two obligations at once: keep high-value communication confidential, and be able to produce it years later in a form a regulator accepts.
01The people holding the value are the targetsExecutives, traders, wealth managers and client advisors are pursued through compromised devices, SIM swaps and advanced phishing across SMS and consumer messaging platforms.
02Off-channel communicationWhatsApp, Signal, Telegram and personal email carry business that supervisory policy requires to be captured. Every message on those channels is a gap in the record.
03Retention regimes with teethSEC 17a-4 and FINRA retention mandates require confidentiality, retention and auditable communications across all channels — not only the ones IT provisioned.
04MDM alone does not answer the questionDevice management can tell you a device is enrolled. It does not tell you the endpoint is uncompromised at the moment a confidential conversation begins.
05Communication that crosses boundariesDeal teams span banks, subsidiaries, fund administrators, advisors and clients. Who may speak to whom is a policy question, and most tooling has no way to express it.
06Audits assembled by handWhere logging, archiving and device telemetry live in separate systems, supervisory review and eDiscovery become manual reconstruction exercises.
What ASPIS Protects
01Regulated CommunicationsMessaging, voice, video, and file exchange captured under policy rather than pushed to unmonitored channels.
02Client InteractionsAdvisor and client communication protected end to end and retained as required.
03Trading ActivityDesk communications with supervisory sampling and review queues.
04Mobile EndpointsSIM attack, phishing, malicious application, and device compromise detection on the handsets used to transact.
05Executive & Board MattersM&A, financial results, and governance discussion in a controlled environment.
06InvestigationsEvidence packages, legal hold, and reconstruction of what actually happened.
CAPABILITIES
Capabilities for financial institutions
Drawn from the ShieldiT FSX white paper and the Financial Services use case. Availability varies by edition and configuration.
01
Federated secure collaboration
- End-to-end encrypted communication across internal teams, external investors, fund administrators, banks and clients.
- Federation controls defining who may initiate or receive communication across domains, firms and business units.
- Role-based visibility to enforce confidentiality policy — trader to compliance only, advisor to client, and so on.
- Compliance-controlled channels and secure deal rooms for M&A, IPO and high-value trading activity.
02
Recording and retention
- Policy-driven call and video recording with encryption in transit and at rest.
- SRTP-over-TLS protection for real-time media streams.
- Role-based recording controls — for example, recording trading desks while exempting privileged legal roles.
- Retention policies aligned with SEC 17a-4, FINRA, SOX, GLBA, PCI DSS and FFIEC supervisory expectations.
- Recordings indexed, time-stamped and exportable for compliance review or eDiscovery.
03
Supervision and audit
- AuditBot logging of privileged actions, administrative changes and configuration modifications.
- Immutable, cryptographically signed audit logs supporting evidentiary integrity and litigation hold.
- Off-channel communication detection, identifying unauthorized messaging pathways.
- Compliance-ready archival and export to Microsoft Purview, Smarsh, Global Relay or customer-designated systems.
04
Endpoint and data control
- On-device detection of SIM swaps, rogue applications, man-in-the-middle attacks and device compromise.
- Root and jailbreak detection with OS integrity monitoring and automated remediation.
- Device quarantine and conditional access for high-risk or non-compliant endpoints.
- DLP controls on copy, paste, screenshots and external file sharing across regulated channels.
- Geo-fencing aligned to trading floors and advisory zones; workspace isolation for BYOD.
Capability availability varies by edition, configuration and deployment model.
Regulated Communications Pipeline
VOICE / VIDEO / MESSAGE / FILESHIELDIT FSXSecure regulated communicationsRECORDING / POLICYSENTINELIQAnalysis and reviewSUPERVISION / RETENTION / INVESTIGATION
Governance Requirements
Designed to help organizations address requirements associated with the following. ASPIS does not imply certification under any of these programs.
FINRASEC recordkeepingGLBASOXFFIECPCI DSSMiFID II where applicable
Ecosystem Integration
Microsoft PurviewSmarshGlobal RelaySIEM / XDREnterprise Identity
REGULATORY CONTEXT
The frameworks this page speaks to.
SEC 17a-4FINRAGLBASOXPCI DSSFFIECMiFID II where applicable
ASPIS supports customer programs aligned with these frameworks. Coverage depends on edition, configuration and deployment model; the obligation to demonstrate compliance remains with the customer.
SECURITY & TRUST →OUTCOMES
What the architecture is designed to achieve
Design intent, not measured results. Regulatory outcomes depend on the institution’s own program, policy and supervision.
01Confidential collaboration with boundaries that holdAuditable communication across banks, investment firms, fund administrators and clients, governed by fine-grained federation policy rather than convention.
02A replacement for the risky consumer appA sanctioned channel fast enough that WhatsApp, Signal, Telegram and personal email stop being the path of least resistance for sensitive business.
03Audit work that starts from a recordImmutable logging, automated export and supervisory reporting, so review begins with evidence rather than reconstruction.
04Compromise addressed at the endpointOn-device detection and posture enforcement applied continuously, so a compromised phone is caught before it joins a confidential conversation.
05Mobility for front, middle and back officeTrading desks, advisory teams and executive leadership operating mobile while auditability and supervisory control are preserved.
06Fewer systems to governCommunications, threat defense, recording and export consolidated into one platform, reducing the surface a compliance program has to reason about.
These describe what the architecture is designed to do. ASPIS makes no representation about results in any particular environment.
GO DEEPER
The documents behind this page.
Published ASPIS material. Tell us who you are once and every document opens.
OTHER INDUSTRIES