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1Global Connector

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Mobile Communications | Connector for 1Global

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What Is the Shield Connector for 1Global?

1Global is a global enterprise mobile communications and compliance enablement platform, providing regulated financial services firms with a dedicated business mobile solution that separates professional communications from personal ones. By delivering a controlled, capturable mobile number to regulated employees — whether on corporate or personal devices — 1Global enables firms to extend compliant mobile communications coverage to front-office staff, client-facing teams, and remote workers globally, ensuring that mobile voice calls and SMS conducted for business purposes are captured and available for compliance archiving and surveillance.

As a channel through which regulated employees conduct substantive business communication, 1Global mobile voice calls and SMS fall squarely within the recordkeeping, supervision, and surveillance obligations imposed by the SEC, FINRA, MiFID II, FCA, and equivalent regulators globally. Every call and message conducted via a 1Global business number that relates to a trade, an order, a client instruction, or a business decision is potentially in scope, and firms that hold 1Global communications without integrating them into a unified compliance surveillance platform face significant gaps in their eComms coverage.

Shield’s connector for 1Global ingests mobile voice call recordings, SMS messages, and associated metadata directly into Shield’s compliance platform, making every recorded interaction immediately available for AI-powered surveillance, transcription, investigation, and eDiscovery alongside every other channel the firm uses. From the moment data enters Shield, it is available within a single unified platform — without manual exports, without siloed review workflows, and without the blind spots that arise when mobile communications are managed separately from electronic channels.

Mobile communications are not a peripheral compliance risk. Regulators globally — including the SEC, FCA, and MAS — have made clear through significant enforcement actions and examination findings that mobile and off-channel communications are a primary area of supervisory focus. Firms with front-office staff using 1Global for business calls and messages must ensure that those communications are being captured, archived, and actively surveilled — not simply stored in a provider archive that is never monitored.

Why 1Global Compliance Is Complex

1Global mobile voice and SMS communications present compliance challenges that reflect both the specific characteristics of mobile communications and the regulatory environment in which financial services firms are expected to capture them. Several issues arise consistently across regulated firms:

  • Mobile communications as a siloed data source. 1Global call recordings and SMS records are typically managed separately from the eComms compliance platform — held within the 1Global infrastructure with their own retention and access workflows. A trader’s mobile calls, their SMS messages, and their Bloomberg IB conversations about the same trade may sit in entirely separate systems, with no mechanism to correlate them across a single investigation workflow. This structural separation slows investigations, increases the risk of incomplete reconstruction, and creates blind spots that regulators increasingly expect firms to have addressed.
  • The off-channel enforcement context. Regulators globally — including the SEC, FCA, and MAS — have made clear through significant enforcement actions that off-channel and mobile voice communications are a primary supervisory focus. Firms that have deployed 1Global to enable compliant mobile communication still need to ensure that the recordings and messages it generates are being ingested into a compliance platform with active surveillance capability — not simply stored in a provider archive that is never monitored.
  • Mobile-specific language and informality. Mobile communications — both SMS and voice calls — are characteristically brief, informal, and fast-moving. SMS is dense with abbreviations; voice calls are compressed and casual in register. Generic keyword-based surveillance tools are poorly equipped to handle this content accurately, generating excessive false positives or missing genuine misconduct concealed in ordinary-looking mobile communications.
  • Metadata completeness across voice and SMS. 1Global generates metadata alongside both voice and SMS communications — including business number attribution, sender and recipient identifiers, timestamps, call duration, delivery status records, and network identifiers — that is essential for audit trail integrity and regulatory examination responses. Archiving solutions that capture content while discarding or misformatting this metadata produce records that are incomplete for investigation and eDiscovery purposes.
  • Cross-channel continuity. Mobile communications rarely represent the complete picture of a business interaction. A conversation may begin over 1Global SMS, continue on a mobile call, and conclude via Bloomberg IB or email. Compliance architectures that hold 1Global data separately from electronic communications make cross-channel reconstruction slow, error-prone, and structurally incomplete.

Key Features of the Shield 1Global Connector

Complete Mobile Voice and SMS Capture. Shield captures all 1Global mobile voice call recordings and SMS messages within scope — including inbound and outbound calls and messages made via the 1Global business number — alongside the full metadata layer generated by the 1Global platform. All audio, message content, and metadata are ingested in full, with zero data loss.

Full Metadata Preservation. Shield retains and enriches the complete 1Global metadata layer for both voice and SMS — including business number attribution, sender and recipient identifiers, timestamps, call duration, call direction, message IDs, delivery status records, and network identifiers. This metadata is preserved in its original form, made fully searchable, and stored as part of the immutable compliance record — ensuring that investigations, regulatory examination responses, and eDiscovery productions are accurate and legally defensible.

AI-Powered Transcription and Voice Surveillance. Shield applies AI-powered transcription specifically trained on financial services voice communications — including the compressed, informal language of mobile trader-to-trader and trader-to-client calls, financial shorthand, and instrument-specific terminology. Transcripts are passed through Shield’s surveillance models, enabling AI-driven detection of market manipulation, MNPI sharing, information leakage, front-running, and personal misconduct across the full 1Global mobile voice record.

Immutable, Audit-Ready Archive. All 1Global data ingested by Shield is stored in a tamper-evident, WORM-compliant archive with a complete audit trail of every access and action taken on the record. Data is indexed for rapid search and retrieval, supporting regulatory examination responses, eDiscovery requests, and internal investigations. Retention periods are fully configurable to meet jurisdiction-specific requirements — including the six-year standard under SEC Rules 17a-3 and 17a-4, the five-to-seven-year requirements under MiFID II and MAR, and the five-year requirements under CFTC Regulation 1.35.

Unified 1Global Voice and SMS Archive. Shield captures both 1Global mobile voice calls and 1Global SMS in the same unified compliance platform — ensuring that the full 1Global mobile communication record is available for search, surveillance, and investigation in a single workflow. Compliance teams can correlate SMS messages with the mobile voice calls they accompanied, reconstruct the complete sequence of a 1Global-based business interaction, and produce unified 1Global records for eDiscovery and regulatory examination responses without switching between separate archives.

Out-of-the-Box AI Surveillance Models. Shield ships with pre-configured AI surveillance models for 1Global communications, targeting behaviours including market manipulation, information leakage, MNPI sharing, front-running, and personal misconduct — all calibrated to the specific language patterns of mobile voice and SMS communications in financial services contexts. Models can be customised to reflect a firm’s specific risk appetite, restricted lists, and internal policy requirements.

Unified Cross-Channel Surveillance. 1Global communications do not exist in isolation. The same employees communicating over 1Global are also using Bloomberg IB, email, Microsoft Teams, and other channels — often about the same trades, clients, and positions. Shield ingests 1Global voice and SMS data into the same unified compliance platform as every other channel, enabling compliance teams to correlate mobile interactions with electronic communications from all other sources. This cross-channel context is essential for accurate misconduct detection and complete trade reconstruction.

Data Governance and Chain of Custody. Shield’s 1Global connector preserves a complete, verifiable chain of custody from ingestion through archiving and retrieval. Every stage of data handling is logged, auditable, and reportable — giving compliance officers and legal teams the confidence that 1Global mobile records are admissible, complete, and unaltered throughout their lifecycle.

Regulatory Coverage

1Global mobile voice and SMS communications are classified as business records subject to capture, retention, and surveillance requirements across multiple regulatory frameworks. The Shield 1Global connector supports compliance with:

  • Market Abuse Regulation (MAR) — requiring firms to monitor communications for indicators of insider trading, front-running, and market manipulation — including mobile voice and SMS communications where these behaviours may be coordinated or disclosed.
  • SEC Rules 17a-3 and 17a-4 — requiring broker-dealers to capture, preserve, and produce records of all communications related to their business, stored in WORM-compliant, non-rewriteable format with an audit trail, for a minimum of six years.
  • FINRA Rules 4511 and 3110 — requiring member firms to archive all communications relating to their business as such — including email — with written supervisory procedures, supervision requirements, and full audit trail capability in place.
  • MiFID II Article 16(7) and Market Abuse Regulation (MAR) — requiring investment firms to record and retain electronic communications related to orders and transactions for a minimum of five years, with trade reconstruction capability within three days, and to monitor communications for indicators of insider trading, front-running, and market manipulation.
  • CFTC Regulation 1.35 and 17 CFR § 23.202 — requiring swap dealers, major swap participants, and futures commission merchants to retain records of all communications relating to commodity interests and swap transactions as part of a complete audit trail for trade reconstruction.
  • FCA Rules (SYSC 10A and MAR) — requiring FCA-regulated firms to record and retain relevant electronic communications, including email, for a minimum of five years, and to implement effective surveillance arrangements to detect and prevent market abuse.
  • GDPR and applicable data privacy regulations — Shield’s architecture supports data residency requirements and privacy-compliant data handling across jurisdictions, enabling firms with EU operations or EU data subjects to meet GDPR obligations alongside their financial services recordkeeping requirements.

Other Related Connectors

Shield’s connector portfolio spans the full range of eComms channels and trading platforms used across regulated financial institutions. All connectors feed into a single unified compliance platform, so 1Global data is always reviewed in the context of every other channel your workforce uses.

Frequently Asked Questions

Does the Shield 1Global connector cover both voice calls and SMS?

Yes. Shield’s 1Global connector captures both 1Global mobile voice call recordings and 1Global SMS messages in the same unified compliance archive. Both communication types are compliance capture obligations for regulated firms using 1Global for business communications, and both are ingested with full metadata preservation and AI surveillance capability into the same platform. This ensures that the complete 1Global mobile communication record — voice and text — is available for investigation and regulatory examination in a single workflow.

What data does Shield ingest from 1Global?

Shield ingests 1Global mobile voice call recordings, SMS messages, and the full metadata layer — including business number attribution, sender and recipient identifiers, timestamps, call duration, call direction, message IDs, and delivery status records. Voice recordings are transcribed using AI models trained on financial services voice communications, and all records are made fully searchable and available for surveillance within the Shield platform alongside all other communication channels.

Which regulations does the Shield 1Global connector help firms comply with?

The Shield 1Global connector supports compliance with SEC Rules 17a-3 and 17a-4, FINRA Rules 4511 and 3110, MiFID II Articles 16(7) and 25, Market Abuse Regulation (MAR), CFTC Regulation 1.35 and 17 CFR § 23.202, FCA SYSC 10A, and applicable data privacy regulations including GDPR.

How does Shield handle the informal language typical of mobile voice calls and SMS?

Shield’s surveillance engine applies NLP models specifically trained on financial services language — including the brief, informal, and abbreviation-heavy communications typical of mobile SMS and the compressed register of mobile voice calls. This contextual understanding reduces false positive alerts and ensures that genuine risk signals are identified accurately, even when expressed in casual or abbreviated language that generic keyword-based systems routinely misread or miss entirely.

Can 1Global data be reviewed alongside other communication channels during an investigation?

Yes, and this is central to effective mobile compliance. Business interactions involving mobile communications rarely stay on a single channel — a conversation may begin with a 1Global SMS, continue on a mobile call, and conclude over Bloomberg IB or email. Shield’s unified archive allows reviewers to search and reconstruct the complete sequence of a business interaction across all platforms in a single workflow, ensuring that the full picture is available regardless of which channels were used.

How should firms handle GDPR and privacy obligations for 1Global mobile communications?

1Global mobile communications captured for compliance purposes are subject to GDPR obligations — including requirements around lawful basis for recording, data subject access rights, and retention limitation — that apply to both voice recordings and SMS records. Shield’s architecture supports privacy-compliant handling of 1Global data, including configurable retention periods and data residency controls, enabling firms to meet their GDPR and equivalent privacy obligations alongside their financial services recordkeeping requirements.

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