$2B+ in SEC & FINRA off-channel fines since 2021. The question is no longer whether regulators will look; it is whether your firm can prove what it did.
Compliance Infrastructure

Compliance you can prove.
Records that cannot be challenged.

Arc.Box creates cryptographically sealed Authentic Record Containers for financial services firms, giving broker-dealers, RIAs, private equity, and family offices a compliance record they can stand behind in any examination.

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app.arcbox.io / vault / crescent-capital-fund
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The Regulatory Reality

Regulators are not coming.
They are already here.

SEC Rule 17a-4 and FINRA's recordkeeping requirements do not care how a message was sent. They care whether it was preserved, authenticated, and retrievable. Off-channel communications (WhatsApp, Signal, personal email, SMS) have become the leading source of enforcement actions. Firms are not failing because they broke the rules. They are failing because they cannot prove they followed them.

$2B+
Penalties
In off-channel SEC & FINRA penalties since 2021 across major financial institutions.
17a-4 / WORM
The Standard
Regulators require records to be non-erasable, non-rewritable, and retrievable on demand.
Off-Channel Risk
Enforcement Target
Personal devices and apps are now the primary enforcement target. Coverage gaps are liability gaps.
Exam Ready
Time Pressure
When the regulator arrives, you have hours (not weeks) to produce compliant records.
Product Mechanics

From record to proof.
In one sealed container.

Arc.Box captures, authenticates, and seals your firm's communications and records into Authentic Record Containers (ARCs), cryptographically verifiable units of compliance evidence.

Capture

Arc.Box ingests communications and records across channels (email, messaging, voice, and documents) through secure connectors.

Authenticate

Every record is timestamped, hashed, and sealed into an Authentic Record Container. Once sealed, it cannot be altered.

Prove

When an examiner requests records, Arc.Box produces cryptographically verifiable outputs, complete with chain of custody.

How Arc.Box Works
ArcBox Demo Video
Vista AI

Intelligence that never
leaves your vault.

Vista AI is Arc.Box's private intelligence layer, built on the Archivista platform. It analyzes your sealed records without ever sending your data to external models. Vista surfaces compliance anomalies, surfaces communication patterns, and answers examiner questions from within your authenticated record set. Your intelligence. Your governance. Your answers.

Private by Design
Private by Design
Vista runs on your sealed ARCs; no data leaves your environment for AI processing.
Anomaly Detection
Anomaly Detection
Surface off-policy communications, missing records, and compliance gaps before an examiner does.
Audit Trail Intelligence
Audit Trail Intelligence
Vista understands the chain of custody; every insight is traceable to a sealed, verifiable source.
Examiner-Ready Answers
Examiner-Ready Answers
Query your record set in plain language. Get verified, citable responses from authenticated records.
Designed For

Built for every firm that
regulators hold accountable.

01

Broker-Dealers

Full SEC 17a-4 and FINRA 4511 coverage for registered reps, supervisory records, and off-channel communications across your entire organization.

02

Registered Investment Advisers

Books and records compliance under the Investment Advisers Act: sealed, retrievable, and examination-ready on demand.

03

Private Equity & VC

Deal communications, LP correspondence, and fund records, authenticated and preserved across the full investment lifecycle.

04

Family Offices

Institutional-grade compliance and record governance for complex, multi-entity structures with high-value client relationships.

The Platform

Arc.Box runs on Archivista infrastructure.

Every ARC sealed in Arc.Box. Every Vista AI insight. Every cryptographic verification. All of it runs on the Archivista data ownership platform, the same infrastructure built to govern organizational intelligence across industries. When you choose Arc.Box, you are not buying a compliance tool. You are connecting to a platform designed to make your data provable. Permanently.

Learn about the Archivista Platform →