Communication Compliance Surveillance for Retirement Plan Administrators with ASC
The Problem
Every email, text, and social message from a 401(k) TPA advisor is regulated — manual surveillance samples tiny fractions and misses real issues.
What We Build in ASC
AI surveils 100% of communications, flags anything that might violate rules (promises, performance claims, undisclosed gifts), and routes to the CCO — compliance risk drops, supervision cost too. Purpose-built for teams running ASC — uses the native API or agent integration so nothing leaves the system of record.
ASC Integration Approach
Audit your ASC configuration
We map the specific ASC objects, custom fields, and workflows the automation needs to touch for your 401(k) tpa practice.
Build on the ASC API or agent
Integration happens inside ASC — no data leaves the system, no parallel tool for your team to learn, no license changes.
Human-in-the-loop handoff
Every automation routes exceptions back to a human in ASC with enough context to act — AI handles the 80%, your team owns the judgment calls.
See this running in your ASC instance
30-minute call. We'll look at your actual ASC setup and show exactly how this workflow fits.