Solutions · Financial Services

Every regulated communication deserves enforcement before delivery.

Communications, AI, and sensitive deals run on rules that are enforced by people and audited after the fact. VOXTEN enforces them before delivery, and proves every decision to an examiner.

Designed for compliance, supervision, legal, and technology leaders responsible for governing communications and AI.

The reality

Surveillance tells you what already happened.

Communications surveillance, trade monitoring, and archives all operate after the fact. By the time a review flags a problem, the message is sent, the wall is crossed, the disclosure is out. VOXTEN moves the control to before delivery: the risky message is held, the non-permitted recipient is blocked, and the compliant path is offered in the same moment.

Supervision before delivery

Every regulated communication meets policy at the moment it is sent.

Not sampled later. Enforced in the moment, with one of four outcomes, and a sealed record of each.

Regulated communication VOXTEN policy enforced before delivery Allow Guide Hold Escalate Every decision sealed, tamper-evident SUPERVISION BEFORE DELIVERY
Where policy meets operations

Enforcement across financial services.

Supervision that covers every desk and every channel, firm-wide.

Communications

Front office communications

Email, chat, and messaging across sales and trading desks, governed before send against supervision policy.

Information barriers

Investment banking and walls

Wall-crossings, deal teams, and need-to-know compartments enforced at the moment of delivery.

VOXTEN Clean Room →
Advice and AI

Wealth management and advisor communications

Advisor-to-client communications and AI-assisted advice, governed before they reach the client.

Market-sensitive

Trading and capital markets

Market-sensitive communications and AI or agent actions evaluated against policy before they move.

Regulatory drivers

The regulations aren't new. The way work happens is.

Supervision, recordkeeping, and information barriers have been required for years. What changed is where work happens, and how fast. VOXTEN turns those standing obligations into enforcement at the moment of delivery, with the evidence built in.

Communications supervision and recordkeeping
SEC 17a-4 · FINRA 3110 · FINRA 2210
Firms must supervise and retain communications, and prove they did. Enforcement before delivery makes supervision a control, not a sampling exercise.
Off-channel communications
SEC and FINRA recordkeeping actions
Business conducted on unmonitored channels has drawn some of the largest recordkeeping penalties on record. Enforcement at the point of the message closes the gap.
Material non-public information
Insider trading · information barriers
Who receives what has to be controlled and defensible. VOXTEN Clean Room enforces wall-crossings and need-to-know before content moves.
AI and model governance
Model risk · emerging AI rules
AI output that reaches a client or a decision must be governed. VOXTEN evaluates model and agent output against policy before it is acted on.
Provable to an examiner

Every decision, sealed for the record.

Every decision, permitted or held, is sealed into a hash-chained, tamper-evident record, with the policy cited, the guidance issued, and the reasoning behind it. The record a compliance officer can hand to an examiner.

Evidence record tamper-evident
Message held, revised, and delivered
decisionheld → delivered policyFS-MNPI-04 actorjbryant@voxten.io guidanceissued by Lyra sealed2026-07-14 09:22 UTC
SHA-256 9f3a…c71d ← a1e0…4b2f

See what supervision looks like before delivery.