Solutions for Financial Services
eDiscovery for Regulated Financial Institutions
Celeric handles SEC, FINRA, FCA and DOJ matters with the speed and structure regulators expect — trader chat preservation, structured data reconstruction and second-request scale delivered under one defensible pipeline.
Regulator-Grade
Trader Chat
Structured Data
Cross-Border
The Challenge
The Discovery Challenges Facing Financial Institutions
Short deadlines, structured data and heightened regulatory scrutiny — all at once.
Regulator Timelines
SEC and FINRA requests arrive with deadlines that don't move for infrastructure limitations.
Trader Communications
Bloomberg, Symphony, WhatsApp and Teams chats — each preserved, threaded and reviewable.
Structured Data
Trade blotters, order records and market data must be reconciled with unstructured evidence.
Heightened Scrutiny
Every production reviewed against the risk of parallel proceedings and enforcement.
Cross-Border Data
GDPR, bank secrecy and blocking statutes complicate every multi-jurisdictional matter.
Second Request Scale
HSR second requests routinely exceed 5 million documents on 30-day timelines.
Traditional vs Celeric
Why Traditional Approaches Fall Short in Finance
General-purpose eDiscovery breaks under regulator tempo and structured-data complexity.
Traditional Approach
- Chat exported as flat PDFs
- Structured and unstructured reviewed separately
- Manual privilege review at scale
- Fragmented cross-border coordination
- Reactive, ad-hoc regulator response
The Celeric Way
- Native trader chat with threads and edits
- Unified review across trades and comms
- AI-assisted privilege and issue tagging
- Regional hosting and coordinated production
- Second-request playbooks ready day one
Industry Workflow
A Discovery Pipeline Built for Regulator Tempo
From subpoena receipt to production, on regulator-grade timelines.
1
Subpoena Intake
Rapid scoping with compliance and outside counsel.
2
Legal Hold
Preservation across custodians and systems.
3
Collection
Trader chat, email and structured data.
4
Processing
Reconciliation of trades and communications.
5
AI Review
Issue coding, privilege and enrichment.
6
Production
Regulator-ready load files and metadata.
7
Testify
Expert support for enforcement proceedings.
Matters We Support
Financial Matters Handled Under Enforcement Pressure
The recurring matter types facing banks, funds and insurers.
SEC & FINRA Enforcement
Subpoena response, Wells notices and enforcement matters on regulator timelines.
Second Requests (HSR)
Merger-related second requests at multi-million document scale.
AML & Sanctions
Transaction monitoring follow-up, sanctions enforcement and control failures.
Trader Surveillance
Downstream investigations from surveillance alerts and control breaches.
Banking Litigation
Commercial banking disputes, syndicated lending and derivatives litigation.
Cross-Border Investigations
Multi-jurisdictional matters spanning US, UK, EU and APAC regulators.
Data Sources
Every Communication Channel Finance Actually Uses
Forensic capture across regulated and modern channels alike.
Microsoft 365
Bloomberg Chat
Symphony
Teams
Mobile / WhatsApp
Trade Blotters
Order Systems
Voice Recordings
Journaling Archives
File Shares
Why Celeric
Why Financial Legal Teams Choose Celeric
Purpose-built for how regulators actually work.
Regulator-Grade Speed
Second-request and Wells response measured in days, not months.
Native Trader Chat
Bloomberg, Symphony, WhatsApp and Teams with threads, edits and reactions intact.
Structured + Unstructured
Trades, orders and comms unified in a single review workspace.
Regulator Trust
Documentation and defensibility built to survive Wells and enforcement scrutiny.
Cross-Border Ready
Regional hosting, blocking statute compliance and coordinated production.
AI-Assisted Privilege
Privilege and issue coding accelerated with reviewer-verified AI.
Business Outcomes
Outcomes for Legal, Compliance and Regulator Relationships
Delivered against enforcement-grade pressure.
Meet Regulator Deadlines
Second-request and Wells production delivered inside statutory windows.
Cut Review Costs 60–80%
AI-assisted issue coding and privilege routing collapse review effort.
Reduce Regulator Friction
Structured, well-metadata'd productions minimise follow-up requests.
Standardise Global Response
One playbook across US, UK, EU and APAC regulators.
Preserve Trader Fidelity
Chat, voice and structured trade data unified — no dropped context.
Support Wells Response
Ready evidence, timelines and expert testimony for Wells and enforcement.
Trusted by Regulated Institutions
The Discovery Partner Banks and Funds Rely On
Delivering under enforcement pressure, at institutional scale.
"A five-million-document second request delivered on time. Nothing about that used to be routine."
Head of Litigation
Global Investment Bank
"Native Bloomberg and Symphony collection changed our regulator conversations overnight."
Compliance Counsel
Asset Manager
"Cross-border coordination that actually worked — not just in slides."
General Counsel
European Bank
5M+ docs
Largest Second Request
12 hrs
Wells Response Turnaround
40+
Regulator Engagements
SOC 2 II
Certified
Related Services
End-to-End Capabilities Behind Every Engagement
FAQ