Document Management For Regulated Financial Data
Financial services firms answer to multiple regulators, each with its own rule sets, and an inspection notice can arrive with little warning. When records live across eight different tools, pulling together a complete answer in time is hard.
TeamSync keeps your regulated documents organized and ready to produce.
Talk to a financial-services solutions engineer · See FSI use cases · Regulator coverage
What Financial Services Teams Use TeamSync For
Recordkeeping that a regulator can verify.
TeamSync supports both FINRA 17a-4 and SEC 17a-4, including the 2022 audit-trail amendment that allows non-WORM storage with cryptographic equivalence. Every record event is anchored in a Merkle hash chain, so when an examination request comes in, you can generate a complete package instead of piecing one together under a deadline. → CCO playbook
Trade and communications surveillance — the AI version your regulator will accept.
Using AI for surveillance means being able to show your work: what the model flagged, why, and who reviewed it. TeamSync's surveillance agents log that evidence for every event, anchored and exportable, so your regulator review starts with a complete record instead of a reconstruction. → Surveillance lead playbook
KYC that doesn't restart from scratch every refresh cycle.
Perpetual KYC requires a live corpus, identity documents, EDD packs, monitoring evidence, and refresh triggers, all in one place that an analyst can query. TeamSync maintains that corpus continuously, so you're not rebuilding a customer folder from scratch every couple of years. → KYC operations playbook
Contract registry your GC can defend.
ISDAs, MSAs, side letters, counterparty NDAs: a mid-size institution can have thousands of these, and larger ones tens of thousands. TeamSync organizes them into a queryable registry with obligation tracking and change management, so questions like "what's our exposure if X transitions to Y?" can be answered in hours. → General Counsel playbook
Claims, field-to-office in real time.
Adjusters often spend the morning at a property and the afternoon uploading what they found. TeamSync's mobile capture lets them post photos, statements, and signed forms directly into the claim file on site, cutting cycle time and improving the customer experience.→ VP Claims playbook
A platform your CISO has already approved.
Introducing AI into regulated content is a legitimate internal concern. TeamSync's permissions-aware AI keeps every retrieval bounded by existing user permissions, anchors every answer, and never trains on customer content, making it easier for your CISO to approve. → CISO playbook
Where TeamSync Fits With The FSI Stack
You keep your trading core (Murex, Calypso, Charles River, Eagle, FIS, Fiserv, Temenos), your CRM (Salesforce), and your communications platform (Bloomberg, Symphony, MS Teams). TeamSync sits underneath, handling the recordkeeping, surveillance, audit, contract, and AI-grounding layer for the regulated content those systems produce.
Layer | Stays | Layer TeamSync owns |
Trading and accounting cores | Yes | Recordkeeping per 17a-4 |
Communications platform | Yes | Surveillance + retention + export |
Salesforce CRM | Yes | Counterparty + contract registry |
Microsoft 365 | Yes | Records-of-record + AI grounding |
Surveillance front-ends | Coexist | AI explainability + audit anchor |
AML / KYC tools | Coexist | KYC corpus + ongoing-monitoring evidence |
Compliance, By Name
FINRA 17a-4 · DORA · SOX 404 · GDPR Article 17 · eIDAS QES · SOC 2 Type II · ISO/IEC 27001:2022 · EU AI Act for surveillance models
Read Further
FSI use cases — surveillance, KYC, contracts, claims, recordkeeping
Customer references — anonymised outcomes by use case
ROI — TCO model and savings categories
FSI page — CCO, CISO, KYC Ops, GC, VP Claims, Trade Surveillance Lead
Where to meet TeamSync — SIFMA, ACAMS, RegTech RegOps, MAS Asia FinTech Festival