Compliance You Can Prove. Oversight You Can Defend.
AI-powered investigation and supervision tools built for FCA and FINRA obligations — fast, explainable, and built to support those with personal accountability.
For compliance leaders operating under single or dual scrutiny from the FCA and FINRA, oversight isn’t optional — it’s personal. Simply Discover helps you meet the requirements of SM&CR, SYSC, MAR, Reg BI, and more by enabling fast, explainable investigations across unstructured communications. Whether you're preparing for an audit, responding to a regulator, or managing internal concerns, we make it easier to demonstrate good governance in real time.
The Cost of Incomplete Oversight
Compliance teams are expected to supervise more data, across more channels, under increasing regulatory pressure — all while proving accountability. Missed risks or slow investigations can have serious consequences:
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In 2024, a dual-regulated investment firm was fined over £6 million for failing to monitor staff communications in line with SM&CR and FINRA Rule 3110.
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Inadequate investigation timelines and weak documentation are key red flags during FCA and FINRA audits.
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Cultural risk and conduct issues often go undetected in chat tools and file sharing platforms not built for compliance review.
A Smarter, Faster Path to Regulatory Confidence
What compliance leaders want isn’t more alerts — it’s clarity, context, and control. Imagine being able to:
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Search across email, chat, and documents in seconds using plain language
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Instantly see who knew what, when, and why
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Triage potential misconduct without months of back-and-forth
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Provide regulators with structured, defensible responses in hours — not weeks
How We Help Meet FCA and FINRA Expectations
Prove Oversight & Supervision
Map your review actions directly to SMF16/17 responsibilities and FINRA supervisory rules (3110, 3120). Every result is logged, explainable, and time-stamped for audit readiness.
Speed Up Regulatory Responses
Quickly answer FCA Principle 11 and FINRA 8210 requests with natural language search across communications. Get to the right data, fast — no rigid filters or clunky interfaces.
Maintain Structured, Searchable Records
Every case creates a verifiable audit trail — including tagging, chain of custody, and exportable reports — aligned to FCA SYSC and FINRA books & records (4511) requirements.
Identify Cultural and Conduct Risk
Surface veiled language, behavioural shifts, and high-risk patterns without relying solely on lexicon hits. Aligns to FCA MAR, COBS, and FINRA Reg BI requirements.
Investigate Internally with Confidence
Whether it’s whistleblowing, HR, or conduct reviews, Simply Discover builds clear timelines and defensible narratives for sensitive cases — helping you comply with FCA whistleblowing frameworks and FINRA 3130 certification.
Why Financial Institutions Choose Simply Discover
“A UK-based asset manager facing a joint FCA and SEC review used Simply Discover to search across four years of archived email and Teams messages. What previously took three weeks to compile was handled in under two days — with a full audit trail and regulator-ready exports.”
Explainable AI Built for Compliance
Every insight is backed by a transparent explanation, so you can act — and defend — with confidence.
Designed for Single and Dual Jurisdiction Oversight
Data never leaves your environment. You stay in control — including key management, access policies, and retention timelines.
Runs in Your Own Azure Tenant
Supports the specific obligations of UK and US regulators, so your compliance posture stays aligned globally.
Fast to Deploy, Easy to Use
No complex rule-building or external scripting. Just natural language queries, intuitive workflows, and exportable results.