Email compliance
for small RIAs.
RIA email archiving and supervision: Turret archives your firm’s sent and received email under SEC Rule 204-2 and flags risky outbound mail with AI triage, on Google Workspace or Microsoft 365.
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Read the transcript
Precise wording, where the narration summarises: Turret archives sent and received mail for the retention period Rule 204-2 requires, and pattern-matches outbound mail only.
Every email your firm sends or receives is a record.
Turret keeps all of it.
Onboarding takes about 10 minutes.
Connect Google Workspace or Microsoft 365 once for your whole firm.
From then on, every mailbox is archived automatically.
The archive will backfill for up to seven years, built to SEC Rule 204-2.
Now the part you used to do by hand.
From the day you connect, your team's sent email is checked every hour.
Performance guarantees. Inside information. Requests to move off email. Social Security and card numbers.
When something matches, AI reads the flagged passage and tells you how likely it is to be a real problem, and why.
You mark it reviewed, dismiss it, or escalate it. Every decision is logged.
Need to find something? Search your whole firm's email from one place.
And when the exam comes, your supervision report and archive integrity report are one click away.
Turret Email. From $99 a month, five mailboxes included.
Spend your time on your clients,
Not on compliance.
Turret. Start your fifteen-day free trial at getturret.com.
Less noise. More signal.
Each alert arrives with a written reason.
Turret checks what your firm sends against 15 compliance patterns, and AI triage gives each alert a confidence score and a short written reason, so a reviewer knows where to start.
The AI closes nothing unless you turn on auto-clear, which is off by default.
| Pattern | Turret’s read | Subject | From → To |
|---|---|---|---|
| Performance guarantee (contextual) | Likely violation (92%) | Q4 strategy update — what to expect | d.ortiz@acme-capital.com → m.gonzalez@client.example |
| MNPI / Insider information | Likely violation (87%) | Pre-IPO research call follow-up | l.chen@acme-capital.com → j.reyes@client.example |
| Off-channel communication | Unclear (68%) | Re: let’s move this to WhatsApp | k.daniels@acme-capital.com → client@client.example |
| Performance guarantees / forbidden marketing language +1 | Likely violation (94%) | MassRisk-free retirement income strategy | marketing@acme-capital.com → a.brooks@client.example +17 more |
| Customer dissatisfaction / litigation risk | Likely false positive (22%) | Re: statement question | d.ortiz@acme-capital.com → client@client.example |
- “Absolutely guarantee” promises investment performance to a client.
- “Zero risk” is prohibited in adviser communications under the Marketing Rule.
- The wording is the sender’s own, not a quoted disclaimer.
Generated by a model from the message text. It is a triage hint for ordering your queue — it does not review, dispose, or escalate anything. Read the message before you decide.
…we absolutely guarantee double-digit returns this year. There’s zero risk for clients…
Keys: ← back · → next · R reviewed · F false positive
Boilerplate footers and disclaimers are stripped before matching, and auto-clear is off unless you turn it on.
Mail sent to 10 or more distinct recipients is tagged Mass, and a weekly digest goes to the contacts you choose.
Every mailbox archived, including deleted mail.
Turret captures sent and received mail wherever it ends up, whether filed, archived out of the inbox or deleted, and keeps it for 7 years, while you subscribe.
Evidence you can hand an examiner.
The Supervision Activity Report shows what was checked, flagged and reviewed, and by whom. The Archive Integrity Verification Report shows every archived message re-hashed against its SHA-256 baseline. The latest Archive Integrity Verification Report is downloadable from Reports.
- Total records examined:
- 16,800
- Intact:
- 16,800
- Missing baseline:
- 0
- Mismatched:
- 0
- Status:
- VERIFIED
- Earliest archived message
- 5/24/2019, 9:14:02 AM (America/New_York)
- Retention window
- 7 years (SEC Rule 204-2)
- Messages Turret could not archive
- none outstanding
- Listed by the mail provider but no longer retrievable
- none
This report attests to the integrity of the 16,800 records held in the archive. It is not a statement that every message sent or received in the period is present.
Website archiving is included with Email. See Website archiving
Questions
Does Turret surveil inbound email or attachments?
No to both. Inbound mail is archived as a record, and patterns and alerts run on outbound mail only, on Google Workspace and Microsoft 365 alike. Attachments are archived with their name, type and size, but the text inside them is not scanned.
Does Turret meet SEC Rule 204-2 for email?
Turret keeps every active mailbox's sent and received mail, including mail that was filed away or deleted, for 7 years, while you subscribe. It adds full-text search and a SHA-256 hash per message, so you can show the records haven't changed. Whether your recordkeeping as a whole satisfies Rule 204-2 depends on your policies and practices, which is a judgement for your CCO and counsel. Turret provides the records and the evidence.
Your email on record, and reviewed.
Email connects to Google Workspace or Microsoft 365 with one admin authorization. Your card is taken at the end of setup, and nothing is charged for 15 days.
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