Proactive Compliance
That Gets Ahead of Risk
Spot is built for regulated organisations.
It is a customer-hosted communications surveillance (supervision) platform for FINRA, DORA, FCA and internal policy compliance.
Spot continuously monitors email and collaboration data using policy-driven rules and natural language analysis to detect potential compliance risks early, reduce false positives, and produce defensible audit evidence.
Spot is deployed inside the customer's Azure environment, ensuring data never leaves their control.
Manual communications supervision is increasingly ineffective in high-volume environments. In regulated firms, inconsistent monitoring and late discovery often turn into avoidable remediation and audit pressure.
Typical quarterly review time
Issues found too late
Illustrative fine magnitude
Figures vary by industry and firm. Use these as directional indicators; sources and benchmarking notes available on request.
Analysts spend weeks reviewing thousands of communications manually. By the time violations surface, the damage (and the audit work) is already underway.
Different reviewers apply policies differently. What gets flagged depends on who is reviewing, what they remember, and how exhausted they are.
Spreadsheet chaos when auditors or regulators ask for evidence. No consistent workflow, no defensible process, no clear audit trail.
"We were spending more time documenting our compliance failures than actually preventing them." — Chief Compliance Officer, Fortune 500 Financial Firm
A communications surveillance (supervision) tool monitors regulated communications, applies policies to detect potential misconduct, and produces defensible evidence for audits. With Simply Discover, you can translate rules like FINRA 3110 or FCA SYSC 10A into practical, flexible policy sets that actually work.
How Spot Works
Spot supports both historical and ongoing communications, enabling continuous supervision as well as retrospective review.
Regulatory & Policy Coverage
Spot helps you operationalise supervision obligations by turning regulatory expectations into repeatable monitoring and evidence.
Start with keywords and phrases known to indicate risk, then add exclusions to reduce noise and avoid alert fatigue.
Create policies naturally with optional violation examples—so teams can align on intent, not just keywords.
Model real-world breaches with flexible policy sets—because risk rarely shows up as a single obvious phrase.
No more scattered alerts. Spot brings supervision, evidence, and reviewer actions into a single, streamlined view.
Use natural language analysis to detect contextual, implied, or veiled compliance risks that keyword-only systems commonly miss—complete with explainable evidence for every flag.
Classify each message as Compliant, Non-Compliant, or Flagged for Review—creating consistent outcomes and defensible reviewer records.
Keep reviewers moving with hotkey navigation and efficient screen design—optimised for high-volume supervision teams.
See why something was flagged—clear rationale, supporting context, and evidence surfaced for each result.
Spot — Proactive Compliance & Communications Surveillance is designed for regulated organisations that need continuous, explainable supervision of employee and client communications, including:
Financial services and broker-dealers
Firms operating under FCA, FINRA, DORA, or similar regulatory regimes
Compliance, surveillance, and supervisory teams managing high-volume email or collaboration data
Organisations that require communications data to remain inside their own Azure tenant (customer-hosted)
Meet FINRA supervision obligations with targeted, ongoing review of broker-dealer communications. Detect potential violations early and show evidence of active oversight.
Surface early indicators of insider risk and mishandled material non-public information (MNPI). Go beyond keywords to find veiled intent and subtle signals of risk.
Identify unbalanced risk/reward claims and misleading promotional language before they're published—or spread. Tailor policies to reflect your own standards or FCA expectations.
Cut through the noise in high-volume environments. Fine-tune exclusions and natural language rules to reduce alert fatigue and focus attention where it matters most.
Supervision needs to be visible, consistent, and explainable—especially when regulators or auditors ask for evidence.
Track supervision outcomes by policy, rule, mailbox, or reviewer—with defensible performance and trend reporting.
Track message volumes, violation rates, and reviewer actions over time—so supervision is measurable, not anecdotal.
Export audit-ready evidence packs in minutes—traceable reviewer actions, clear rationale, and consistent outcomes.
Quick answers for compliance, surveillance, and supervisory teams evaluating customer-hosted communications monitoring.
No. Spot is deployed inside the customer’s Azure environment so communications data and analysis remain under the customer’s control.
Yes. Spot is customer-hosted within your Azure tenant. Data ingestion, policy evaluation, reviewer workflows, and audit exports run within your environment.
Spot supervises employee and client communications across email and collaboration sources, applying policy-driven rules and natural language analysis to surface potential compliance risks.
Spot combines keyword seeding, exclusions, and contextual rules so reviewers see fewer noisy alerts and clearer evidence for each flag.
Yes. Spot supports ongoing supervision and retrospective review with reviewer classification, escalation-ready audit trails, and exportable reporting to demonstrate consistent oversight.
Yes. Spot policies can be authored in plain English, layered, versioned, and applied consistently to enforce internal communication policies at scale.
Built for regulated industries and complex environments, Spot helps compliance, surveillance, and supervisory teams uncover potential breaches in real time—even when language is subtle, implied, or off-script.
Understand what is meant, not just what is said—so risk does not hide behind polite language.
Host everything within your Azure tenant. Data does not leave your domain—no vendor cloud processing required.
Optimised UI with hotkey navigation keeps reviewers moving—backed by clearly marked evidence and rationale.
Combine reactive investigations and proactive supervision in one place—so escalations become cases with context.
"It's built for teams who need to move fast without cutting corners." — Simply Discover
Who Spot Is Best Suited For
Spot is best suited to regulated organisations that need continuous, defensible supervision of communications, where context, auditability, and data residency are critical.
Organisations looking for simple, SaaS-based keyword scanning without supervisory workflows, evidence packs, or audit obligations may find lighter tools sufficient.
Spot helps you move from reactive to ready—detecting and managing communication risk as it happens, not weeks later. Use it alongside Simply Discover's eDiscovery engine to bring investigation, supervision, and governance under one roof.
30-day pilot program available. If you don't see dramatic improvement in your compliance workflow, we'll part as friends.