Make the policy usable.
Combine keywords, exclusions and plain-English rules. Give supervisors the evidence and rationale behind a potential concern.
Simply Discover / Financial services
Financial
services.
Clearer oversight.
Evidence you can explain.
Review communications with context. Investigate concerns with the source evidence close. Keep a record of the decisions, in an environment your organisation controls.
From signal to assessmentCommunications oversightCustomer-hosted
01 / ScopeEmail & chatConfigured sources
02 / ApplyPolicy rulesKeywords & context
03 / AssessHuman review
Potential policy concernRead the message.
Check the rationale. Record the decision.
Recorded outcomeSource evidence. Reviewer actions.
An illustrative supervision workflow.
- 01Supervise with context
Policy rules and supporting evidence.
- 02Investigate with focus
Defined questions, people and sources.
- 03Explain the work
Decisions and review history.
01 / The work behind the oversight
The next question
needs more than a search.
A policy concern. An audit request. A client asking for their data. Different responsibilities, often drawing on the same communications.
For banks, investment firms, asset managers and private equity teams, the challenge is not simply finding a message. It is understanding the context, making the right review decision and being able to explain the work later.
Simply Discover brings communications supervision, scoped investigations and information-request workflows into a customer-hosted platform. Configure the capabilities around your team’s responsibilities.
Keep the question in focus.
Scope an investigation by people, dates and sources. Explore the surrounding conversations and relationships before drawing conclusions.
Retain the account of the work.
Use recorded reviewer actions and exportable reporting to support supervision, handover and an explanation of the process.
02 / A signal is the beginning
Read the concern.
Then read the context.
A communication can raise a policy question without establishing a breach. The useful next step is an informed review, with the source and the rationale in view.
A data-sharing questionFictional example
Correspondence to examine
“Could you send the client file to my personal email? I can’t access the shared folder.”
A policy may flag the request. The reviewer still needs to establish the context, what happened next and whether the firm’s rules were followed.
- Policy question
- Does the request conflict with the approved handling of client information?
- Context to inspect
- The surrounding exchange, attachments and any approved arrangements.
- Reviewer task
- Assess the evidence, classify the message and record the outcome.
- Policy
Define the concern.
Use rules and exclusions appropriate to the communications and policies you need to supervise.
- Assessment
Make the human decision.
Inspect evidence and rationale. Classify the message as Compliant, Non-Compliant or Requiring Review.
- Oversight
Keep the review visible.
Track actions and outcomes through reporting. Use the evidence to support follow-up where a concern needs further examination.
03 / Across the firm
Different responsibilities.
A shared need for evidence.
Support compliance, legal, risk and privacy teams without treating every question as the same workflow.
Ongoing oversight
Communications supervision
Apply policy-driven review to historical and ongoing employee and client communications. Inspect potential issues with rationale and source context, then record reviewer classifications.
Spot supervisionAssurance & response
Regulatory & audit preparation
Locate and review records relevant to a request. Prepare supported outputs and retain an account of source selections, review decisions and the material provided.
Evidence & review recordsLegal & investigations
Internal investigations
Examine suspected misconduct or a policy breach through a scoped matter. Connect people, communications and events, then check findings against their supporting sources.
eDiscovery capabilitiesOperational resilience
Incident reviews
Find communications around a service disruption. Reconstruct notifications, decisions and follow-up using the available evidence, as part of the firm’s incident-review process.
Supplier & relationship oversight
Third-party reviews
Bring supplier correspondence and supporting documents into view. Examine what was communicated, when concerns were raised and which records support the assessment.
Privacy & information rights
Client & employee DSARs
Scope the request, find personal information across selected sources and review third-party material. Prepare a response with redactions and a record of disclosure decisions.
DSAR workflows04 / From a concern to a defined matter
When the question
needs a closer look.
Ongoing supervision and a scoped investigation are complementary. Keep the right review process around the question being asked.
For legal teamsCollect within a defined scope.
Set custodians, date ranges and repositories. A versioned collection snapshot records the evidence population and integrity information for the matter.
Examine the wider picture.
Explore people, relationships and chronology. AI-assisted classifications can use case context and provide summaries, rationale and supporting passages for reviewers to assess.
Keep decisions with the team.
Review manually or with AI assistance. Correct labels, add notes and record decisions. Governed review connects the strategy, evidence population, validation and sign-off.
Prepare the appropriate output.
Use an investigation report, a reviewed-items pack or a formal Bates production as appropriate. These are distinct outputs, with different purposes and checks.
Oversight is more than an alert.
It is an assessment you can explain.
05 / Sensitive information. Considered disclosure.
Find what is relevant.
Protect what is not
for disclosure.
Client and employee information rarely belongs to just one person in one message.
DSAR workflows keep subject identifiers, the request brief and source selections together. Review the personal information found alongside third-party and sensitive content, with disclosure decisions made by authorised people.
Document, attachment and email redaction workflows support the preparation of reviewed material. Keep the response connected to the case and its review history.
Our approach to redaction06 / Customer control
Your communications.
Your environment.
Bring the software to the environment your organisation controls.
Simply Discover supports customer-hosted deployment in Microsoft Azure, AWS or on premises. Agree residency, source connections and operational requirements with your IT and security teams.
Role and case permissions govern access to sensitive work. Configure the modules, review processes and evidence sources your organisation needs.
- Microsoft Azure
- AWS
- On premises
Platform sources include
- Microsoft 365
- Gmail & Mimecast
- Teams & Slack
- SharePoint & OneDrive
- Supported evidence imports
Coverage differs by workflow and depends on configured connectors or imports, permissions and scope.
Supporting a compliance process is not the same as certifying compliance. Assess the deployment, policies and outputs against the requirements that apply to your firm. Your organisation remains responsible for its controls and decisions.
07 / Before you begin
Questions from
financial-services teams.
What does Simply Discover do for financial-services teams?
Simply Discover supports communications supervision, evidence investigation and information-request workflows for banks, investment firms, asset managers and other financial institutions. Spot applies policies to communications; eDiscovery supports scoped investigations and review; DSAR workflows support personal-data requests.
Is communications supervision the same as an investigation?
No. Spot supports policy-driven review of historical and ongoing communications. eDiscovery starts with a defined matter, sources and investigation questions, then supports contextual review and production. They are complementary workflows, configured and enabled for the deployment.
How are potential policy issues reviewed?
Policies can combine keywords, exclusions and plain-English rules. Reviewers inspect the message, rationale and surrounding context, then classify it as Compliant, Non-Compliant or Requiring Review. A signal is a prompt for assessment, not a finding of misconduct.
Can it help with an audit or regulatory request?
Teams can locate and review communications, prepare supported outputs, and retain evidence of reviewer actions and decisions. Requirements must be assessed for the firm's activities, jurisdiction and request. The software does not certify compliance or guarantee that a regulator will accept an output.
Does this provide trade surveillance or transaction monitoring?
The workflows described here concern communications supervision, evidence review and information requests. They do not describe a market-data surveillance engine, transaction-monitoring system or replacement for the firm's wider risk controls.
Which systems can we collect evidence from?
Platform sources include Microsoft 365 mailboxes, Gmail, Mimecast, Teams, Slack, SharePoint, OneDrive and supported file or evidence imports. Source coverage differs by workflow and depends on the connector or import configuration, permissions and collection scope.
Can we handle client or employee data requests?
Yes. DSAR workflows support request scoping, subject identifiers, source collection, personal-data review, third-party protection, redaction and response preparation. Authorised reviewers decide what is appropriate to disclose.
Where does Simply Discover run?
Simply Discover supports customer-hosted deployment in Microsoft Azure, AWS or on premises. Agree the enabled modules, source connections, access controls and operational requirements for your environment. Customer hosting does not remove the need to assess the deployment against the firm's policies.
Simply Discover / Financial services
A clearer view.
A better-informed response.
Start with the communications you need to supervise, the questions you need to investigate and the evidence your team needs to explain.