Archive Intel, an AI-driven communications compliance platform built for financial institutions, has entered into a partnership with Zocks, a privacy-focused AI platform serving the financial services sector.
The tie-up creates a new integration that allows information captured by Zocks’ AI notetaker to be sent directly into Archive Intel’s system, where it is contextually assessed, checked for language that could breach regulatory standards, and stored in a format ready for audit purposes.
The move responds to SEC and FINRA rules, which classify output from AI notetakers as electronic client correspondence that firms are obliged to review and hold onto for a period of five years.
Existing Archive Intel customers will be able to switch on the Zocks integration directly from within the platform, at a cost of $12 per user each month.
Archive Intel positions itself as a compliance system purpose-built for firms regulated by the SEC and FINRA, bringing together archiving and supervision of client communications, AI-assisted marketing review, oversight of compliance obligations, and trade monitoring within one platform.
It gathers and examines business communications spanning text messages, email, chat, social media, AI-based chat tools, AI notetakers and the web, using contextual AI to flag regulatory risks while keeping compliance staff involved in reviewing flagged material.
Zocks describes itself as a privacy-first, agentic AI platform aimed at financial advisers and firms. It says its AI assistant frees up more than ten hours a week for advisers by handling routine tasks and converting client conversations, emails and documents into structured data linked to a firm’s wider technology and AI setup, with the aim of speeding up plan-building and client onboarding, surfacing growth opportunities and helping firms anticipate client servicing needs.
Archive Intel founder and CEO Larry Shumbres said, “Archive Intel gives Zocks users a secure way to capture, review and retain data from their AI assistant. This integration addresses that need by helping wealth management firms strengthen compliance oversight, organize critical records and reduce the risk of costly violations.”
Zocks co-founder and CEO Mark Gilbert said, “Managing compliance across a growing number of client communication channels is a significant challenge for wealth management firms.
“By integrating with Archive Intel, we are giving firms a more efficient way to review and retain AI-generated records as part of their existing compliance workflows.”
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