Are Radar CRM records subject to financial services regulatory recordkeeping requirements?

In specific contexts, yes. Radar CRM records that document client advisory interactions, regulated communications, investment decisions, and KYC-related activity may constitute business records in scope for SEC Rules 17a-3 and 17a-4, SEC Investment Adviser Act Rules 204-2, FINRA Rules 4511 and 3110, MiFID II, FCA SYSC 10A and COBS, and applicable AML record retention requirements. Routine pipeline management and operational task records are generally outside the regulatory perimeter. Shield supports granular scoping to capture only the records that fall within the compliance scope.

How does Shield scope which Radar CRM records are captured for compliance?

Shield supports record-type-specific and workflow-specific compliance policies for Radar CRM data — enabling firms to define which activity types, workflow stages, and record categories are within compliance scope. This ensures the compliance archive contains CRM records that are genuinely relevant to regulatory obligations — advisory interaction logs, KYC records, regulated communication records — without capturing routine operational CRM content that falls outside the regulatory perimeter.

Which regulations does the Shield Radar CRM connector help firms comply with?

The Shield Radar CRM connector supports compliance with SEC Rules 17a-3 and 17a-4, SEC Investment Adviser Act Rules 204-2, FINRA Rules 4511 and 3110, MiFID II Article 16(7), Market Abuse Regulation (MAR), FCA Rules SYSC 10A and COBS, and applicable data privacy regulations including GDPR — to the extent that Radar CRM records relate to regulated business activity or fall within the firm's defined compliance scope.

How should firms handle GDPR obligations for Radar CRM client records captured for compliance?

Radar CRM records contain personal data of clients and prospects — including names, contact details, financial information, and interaction history. GDPR obligations — including lawful basis for retention, data subject access rights, and retention limitation — apply to this data alongside financial services recordkeeping requirements. Client data subjects have specific rights regarding the processing of their personal data, and these rights apply regardless of whether the data is also retained for compliance purposes. Shield's architecture supports privacy-compliant handling of Radar CRM data, including configurable retention periods and data residency controls.

Radar CRM Connector | Shield: Digital communication governance and archiving solutions

Q: Can Radar CRM data be reviewed alongside other channels during an investigation?

Yes. Shield ingests Radar CRM data into the same unified compliance archive as Bloomberg IB, email, Teams, and voice — enabling complete cross-channel investigation in a single workflow. Client interactions documented in Radar CRM frequently accompany communications over Bloomberg IB, email, and voice about the same client relationships and advisory decisions. Shield ensures these CRM records are available alongside every other channel for a complete picture of every client interaction.

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CRM & Client Communications | Connector for Radar CRM

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What Is the Shield Connector for Radar CRM?

Radar is a CRM and client management platform built specifically for compliance-conscious financial services and professional services businesses — providing a structured environment through which advisors, relationship managers, and client-facing staff manage client interactions, track correspondence, log activity records, document workflow progress, and communicate internally about client matters. Unlike general enterprise CRM platforms, Radar is designed with compliance and process integrity at its core — enforcing structured workflow steps, maintaining audit trails of client interactions, and providing visibility into every action taken on a client record.

Shield’s connector for Radar CRM ingests client interaction records, correspondence logs, activity records, and associated metadata from Radar directly into Shield’s compliance platform, making Radar data available for investigation, eDiscovery, and cross-channel context alongside every other channel the firm uses.

Radar CRM data does not exist in isolation. The same advisors and relationship managers documenting client interactions in Radar are also communicating over Bloomberg IB, email, Microsoft Teams, and other channels. Shield ensures that Radar CRM records are available alongside every other channel in a single unified investigation and examination workflow.

Why Radar CRM Compliance Is Complex

CRM communications as regulated business records in specific contexts. Not all Radar CRM activity is in scope for financial services regulatory recordkeeping — routine pipeline management and operational task records are generally outside the regulatory perimeter. The compliance challenge is correctly identifying the subset of Radar activity that is genuinely compliance-relevant: correspondence logs documenting client advisory interactions, activity records of regulated communications, internal notes about investment decisions, and workflow records relating to regulated business. Shield supports granular scoping to capture only this subset.
KYC and client due diligence records. Radar CRM includes Know Your Customer data fields and client due diligence tracking capability. Communications and records generated in connection with KYC data collection and verification may form part of the firm’s client due diligence record, subject to AML record retention requirements alongside standard eComms recordkeeping.
CRM records as the primary advisory interaction audit trail. For firms where Radar CRM is the primary system of record for client interactions, the CRM record may be the most complete documentation of the advisory relationship — capturing conversations, decisions, and instructions that are not fully documented in any other channel. Without integrating Radar records into the compliance archive, the firm’s regulatory audit trail for those interactions may be incomplete.
Cross-channel continuity. Client interactions documented in Radar CRM frequently accompany communications over Bloomberg IB, email, and voice. Compliance architectures that hold CRM records separately from these other channels produce incomplete client communication records.
Metadata and workflow context. Radar CRM records carry metadata about client accounts, workflow stages, KYC status, and action histories that is essential for interpreting the compliance significance of individual records. Archiving records without this contextual metadata produces incomplete compliance records.

Key Features of the Shield Radar CRM Connector

Complete Compliance-Relevant Record Capture. Shield captures Radar CRM communications and records within the compliance scope — including correspondence logs, advisory interaction records, KYC-related communications, workflow approval records, and internal notes about client matters — along with the full metadata layer. All data is ingested in full, with zero data loss.

Full CRM Metadata Preservation. Shield retains the complete Radar CRM metadata layer — including client and account identifiers, workflow stage and status data, activity types, user identifiers, timestamps, and KYC field context — preserving records in their correct client relationship context for investigation and examination.

Granular Compliance Scope Configuration. Shield supports record-type-specific and workflow-specific compliance policies for Radar data — enabling firms to capture compliance-relevant records while applying appropriate policies to routine operational CRM content.

Immutable, Audit-Ready Archive. All Radar CRM data captured by Shield is stored in a tamper-evident, WORM-compliant archive with configurable retention periods meeting SEC, FINRA, MiFID II, and FCA requirements.

Unified Cross-Channel Surveillance. Shield ingests Radar CRM data into the same unified compliance platform as Bloomberg IB, email, Teams, and every other channel — enabling compliance teams to correlate CRM records with all other client communication sources.

Data Governance and Chain of Custody. Complete, verifiable chain of custody from ingestion through archiving and retrieval.

Regulatory Coverage

SEC Rules 17a-3 and 17a-4 — applicable to Radar CRM records constituting business communications related to regulated activity, stored in WORM-compliant format for a minimum of six years.
SEC Investment Adviser Act Rules 204-2 — applicable to advisory interaction records and client correspondence documented in Radar CRM.
FINRA Rules 4511 and 3110 — applicable to Radar CRM communications relating to member firm regulated business.
MiFID II Article 16(7) and Market Abuse Regulation (MAR) — applicable to Radar CRM records relating to client orders, advisory interactions, and regulated activity.
FCA Rules (SYSC 10A and COBS) — applicable to Radar CRM communications and advisory interaction records in FCA-regulated contexts.
GDPR and applicable data privacy regulations — Shield supports privacy-compliant data handling for Radar CRM client records.

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Frequently Asked Questions

Can Radar CRM data be reviewed alongside other channels during an investigation?

Yes. Shield ingests Radar CRM data into the same unified archive as Bloomberg IB, email, Teams, and voice — enabling complete cross-channel investigation in a single workflow.

Radar CRM Connector