US private capital investment firm streamlined FINRA email compliance with 12,000+ communications reviewed every month saving 90 hours of internal capacity

When daily FINRA email monitoring began consuming valuable compliance resources, LegalEase Solutions became an embedded extension of the client's team, reviewing more than 12,000 communications each month while freeing up 90 hours of internal compliance capacity.

LegalEase Solutions

August 21, 2026

3 min read

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Client overview

About the client

The client is a US-based private capital investment firm managing billions of dollars in assets. As a regulated financial institution, the firm is required to monitor employee communications to support ongoing compliance with FINRA regulations.

Challenge

When regulatory email monitoring became a daily operational burden

To comply with FINRA Rule 2210 and internal communication policies, the client needed to review employee emails for potential compliance risks before they became regulatory issues. Communications had to be screened for unauthorized disclosures, insider trading risks, inappropriate language, conflicts of interest, and other policy violations.

The volume of daily email reviews diverted internal compliance resources from higher-value work. The client needed a trusted partner who could review communications objectively, escalate only potentially problematic emails, and support an ongoing compliance programme without disrupting internal operations.

FINRA Rule 2210 required ongoing communications monitoring

Daily compliance reviews required for timely escalations

Thousands of emails to be reviewed every month

Solution

LegalEase Solutions laid the foundation for the client's FINRA email review programme by helping implement and configure its GlobalRelay environment. Leveraging prior experience with regulatory email monitoring, the team established monitoring parameters, keyword lexicons, and review workflows tailored to the client's compliance requirements.

Once the programme was operational, LegalEase became an embedded extension of the client's compliance function, taking ownership of the day-to-day review process. The engagement evolved beyond routine English-language reviews to include foreign-language communications, allowing the client to scale regulatory functions without increasing internal workload while maintaining consistent attorney oversight.

The team reviewed daily email communications flagged by GlobalRelay
Assessed communications against FINRA Rule 2210 and internal compliance policies
Performed attorney quality control on escalated emails
Escalated potentially suspicious communications for further investigation
Reviewed foreign-language communications
Delivered daily and weekly compliance reports

Outcome

Ongoing FINRA compliance for four years without diverting internal resources

LegalEase Solutions established a scalable compliance review process that became embedded within the client's day-to-day operations. By taking ownership of routine regulatory email monitoring, the team enabled the client to maintain ongoing FINRA compliance while freeing internal resources for higher-value compliance work. Four years on, LegalEase continues to serve as a trusted extension of the client's compliance function.

90 hours

compliance capacity freed every month

12,000+ emails

reviewed monthly

35% cost savings

compared to an average US compliance paralegal

Testimonials

LegalEase... feels like they are a part of our internal operations.

"The review process has become so routine with LegalEase now that it feels like they are a part of our internal operations. Their consistency, responsiveness, and understanding of FINRA is an asset."

Attorney-led FINRA communication review to reduce costs and strengthen regulatory oversight

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