Compliance Terms

Browse through our list of key communications compliance terms and definitions.


Flagged messages in communications compliance are communications, such as emails or electronic messages, that have been marked or flagged for special attention due to concerns about their content, security, or compliance with organizational policies and regulatory requirements. Flagging is a method to identify and prioritize messages that require further review, investigation, or action.


A lexicon policy is a set of rules and guidelines established within an organization to regulate the use of specific words, phrases, or terminology in communications.


Off-channel communications refer to exchanges or discussions that occur outside of official, monitored, or sanctioned communication channels within an organization. These informal or unofficial conversations can pose risks in terms of compliance, data security, and information governance.


A privileged address refers to an email address that holds special importance within an organization. It typically belongs to high-ranking individuals or legal teams, requiring extra protection to ensure sensitive information is handled securely.


Sample searches in communications compliance involve reviewing a representative percentage of an organization's communications to ensure adherence to relevant regulations, such as those enforced by the SEC or FINRA. These searches are a strategic approach to assess compliance without the need to review all communications exhaustively.


Threading in communications compliance entails the structured organization of related messages or conversations. This practice is vital for efficient communication review, tracking, and management, especially in regulated industries.


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