Agentic communications supervision built on your handbook
Upload your handbook. Mira turns it into a policy program you approve, reviews captured messages against it, and routes each flag to the right reviewer.
add a compliance handbook to Mira, watch Mira draft a policy program from it with SEC and FINRA rules and enforcement history, then approve the program to put it live.
Mira
- Your handbookYour firm
- SEC rules and guidanceRegulator
- FINRA rules and guidanceRegulator
- Red Oak's compliance historyRegulator-facing operating history since 2010
- Your policy program
Waiting for your handbook
Policy program v1
Not started- Gifts and entertainment3.1
- Promissory statements4.2
- Off-channel communication4.5
- Signing for a client4.9
- Unapproved material5.1
- Insider information6.3
Nothing is enforced until your team approves it.
The Problem
Review volume grows faster than the team
Every new channel and advisor adds messages. Review everything, and reviewers spend their hours on messages that need no action. Sample, and messages go unread. Either way, showing an examiner how each decision follows your procedures means piecing it together after the fact.
Channels EmailCollab toolsMobileSocialLLM
Reps supervised
- Unread
- Read
- Cleared by Mira
- Rejected by Mira
- Flagged for review
What is supervised
Each channel, one review
Each channel you capture feeds the same review queues and is read against the same approved policies.
- SMS, RCS, iMessage, and Messaging Apps
- Financial Messaging
- Social Media
- Generative AI tools
- Website
- iMessage
- TikTok
- ChatGPT
- iMessage
- TikTok
- ChatGPT
How communications supervision works
From your handbook to a program your team refines
Each step shows how a rule in your handbook becomes a flag, a reviewer's decision, and a policy update your team approves.
01
Your handbook becomes a policy program you approve
Mira turns each supervision rule in your handbook into a policy your team reviews and approves. Nothing runs until you approve it.
- Every policy links to its handbook clause.
- Grounded in SEC and FINRA rules and enforcement.
- Versioned, so every change is traceable.
Written Supervisory Procedures
Section 4.2Representatives may not promise a client that an investment will not lose money.
Policy program v1
Promissory statements4.2
Off-channel communication4.5
Signing for a client4.9
Approvedby your team
02
Every message read in its thread
Mira reads the whole conversation, including intent, people, and context, against your approved policies. A tip about an issuer ahead of an announcement is flagged. A colleague mentioning an internal project stays out of your queue.
- Whole conversations, not keywords.
- Clean messages stay out of the queue.
- The policy clause beside every flag.
JLJordan LeeTeams
Sam knows about the internal project, he can walk you through it.
Intent: a hand-offEntity: an internal projectClear
JLJordan LeeTeams
Get into Halvern before Thursday's announcement. Trust me on this one.
Entity: a named issuerContext: ahead of an announcementFlagged
03
Each flag routed to the right reviewer
Flags are classified by policy, scored for severity, and routed by your regions, branches, OSJs, and desks to the person with authority to act.
- Named owners and separation of duties.
- Each business unit read against its own policies.
- Most severe first.
Item 88211Promissory statements, section 4.2
Hierarchy
Workflow
Branch 114 review
- MO Marcus OkaforBranch 114 supervisor · Assigned here
- Northeast region supervisorsInherited from above
04
Your decisions sharpen the program
Mira learns from how your team confirms, escalates, and dismisses flags, then drafts policy refinements. Nothing changes until a reviewer approves it.
- Similar decisions grouped across the firm.
- Refinements arrive as drafts, never live changes.
- Every update versioned and approved.
Viewing as: Compliance administrator
Similar decisions, grouped by Mira
88211EscalatedBranch 114
88302ConfirmedBranch 207
88417ConfirmedBranch 114
Promissory statementsv1 v1.1
Drafted by Mira: reads "can't lose" phrasing in client threads as a performance promise.
Awaiting a reviewer's approvalApproveDecline
Once approved, v1.1 becomes the program, and the cycle starts again.
Supervision teams on Red Oak see
98%
reduction in false positive alerts with Mira
80%
less time spent on communications review with Mira
<90
seconds from handbook upload to policies live
Defensible by design: the reasoning and the record
When an examiner asks why a message was flagged and what happened next, the answer is already on file. Red Oak calls this Compliance-Grade AI™.
- 1
Explainable findings
Every flag carries Mira's reasoning and the evidence behind it.
- 2
Policy-based controls
Each flag traces to the policy and handbook clause that triggered it.
- 3
Human oversight
A person makes every review decision, and the program changes only through approved updates.
- 4
An auditable decision history
Every review action lands on one audit trail with the name of the person who took it.
Case summary
Item 88211Escalated- 2Policy
- Promissory statements
- Handbook clause
- Section 4.2
- 1Context
- A WhatsApp thread with a client about an IRA rollover
- Rep history
- A prior coaching note under the same policy
- Reasoning
- "The message tells the client the investment cannot lose and recommends moving the whole rollover into it, which reads as a performance promise under section 4.2."
- 3Decision
- Escalated by Marcus Okafor
- 10:39 Marcus Okafor opened the full conversation.
- 10:31 Mira flagged item 88211 under section 4.2.
Trust center for access, security, and data handling.
What it includes
-
New
Hierarchy
Regions, desks, and teams you can rename and move. Review workflows build from them.
- Northeast region
- Hartford OSJ
- Branch 114
- Branch 207
- Boston OSJ
- Hartford OSJ
- Northeast region
-
New
Case management
Start a case in chat. Mira surfaces the evidence, you make the call, and every action is recorded.
Case · Branch 114 auditMira working
Find off-channel communications, January to March
Mira 3 possible findings
- DRFlagged · Marcus Okafor
- TFFlagClear
- RCFlagClear
Audit trail · every action recorded
-
New
Reporting and dashboards
Ask for a dashboard in chat. Every number drills down to the messages behind it. CSV and PDF export.
Flags by region, last 90 days
-
Native capture
30+ native channels and connectors, across email, chat, mobile, and social
- Chat
- Collaboration
- Mobile
- Social
- Generative AI
-
Native threads
Conversations kept in native format, with edits and deletions where the channel records them
Workflows
Review queues with named owners, reviewer groups, and separation of duties
Search, export, WORM
Search by term, person, platform, and status; export on request; WORM storage
Single sign-on and permissions
Single sign-on, with roles your administrators manage
Scenario library
Phrase-based scenarios for common compliance categories
Recognition and customer feedback
8 consecutive years
on the Inc. 5000
84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
Also included
Mira: Supervision Agent
An AI supervision agent that works from your firm's own handbook.
Read moreWorkflows
Review queues with named owners, reviewer groups, and separation of duties.
Case management
For audits and requests: build a case from the request, then export it with a report.
Communications archiving
Every captured message kept searchable and producible on request.
Channels
What Red Oak captures across email, chat, financial messaging, mobile, and social.
Read moreSupervision
The product hub for communications and website supervision.
Read more
See Mira turn a handbook to a program in seconds.
Explore how Mira helps your supervision team focus on real risk signal, apply your policies, and keep reviewers in control.
Communications supervision, answered
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Communications supervision software, also called communications surveillance software, reviews employees' captured business messages against a firm's written policies and records each review decision. On Red Oak, Mira turns the firm's own compliance handbook into a policy program the team approves, checks captured messages against it in context, and routes each flag to the reviewer with authority to act. Mira
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Lexicon-based supervision flags a message that contains a word or phrase on a list the firm maintains; contextual AI supervision reads the message in its thread and assesses it against the firm's written policies. On Red Oak, Mira does the contextual reading against a policy program built from your firm's own handbook, and each flag shows the policy and handbook clause behind it. Mira
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AI reduces false positives by reading each message in its thread against the firm's policies. Mira looks at intent, the people and entities named, and the whole conversation, so a clean message stays out of the queue. Firms using Mira for communications supervision have seen a 98% reduction in false positive alerts. Take the Mira tour
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Mira starts from the compliance handbook your firm already wrote. You upload it, Mira turns each supervision rule into a versioned policy program, and your team approves the program before anything is enforced. Mira then checks captured messages against those policies, and every flag shows the policy and the handbook clause behind it. Mira
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FINRA Rule 3110 requires a broker-dealer to supervise its associated persons under written supervisory procedures, including review of correspondence and internal communications about its securities business, with a record of who reviewed what and when. SEC Rule 17a-4, applied to FINRA members through Rule 4511, requires business communications to be kept for three years, the first two easily accessible. Red Oak records each review decision. Books and records
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Red Oak supervises each channel a firm captures: email through journaling on supported business mail plans, with marketing email from HubSpot and Constant Contact; collaboration tools including Microsoft Teams, Slack Enterprise Grid, Google Chat, Zoom Team Chat, Salesforce Chatter, and Viva Engage; mobile and text across SMS, RCS, iMessage, and WhatsApp, including business texting platforms such as RingCentral, Zoom, Momentum, MyRepChat, YakChat, Clerk Chat, and CurrentClient; financial messaging on Bloomberg, ICE Chat, and Symphony; social and video; and generative AI accounts your firm administers. Each message is read against the same approved policies. Channels