Single platform to provide communications archiving, e-comms review, off-channel monitoring, risk and governance operations and AI governance. Qualified experts review Avery’s output, with everything logged in a single exam record.
MENLO PARK, Calif., Oct. 26, 2026 /PRNewswire/ — SurgeONE.ai today introduced Avery Actions at the NSCP National Conference. Avery, SurgeONE’s AI assistant, can now do the work across compliance, cybersecurity, data and AI governance operations. Qualified experts review Avery’s output, and every action lands in one exam record.
The release also adds text message archiving, off-channel app monitoring, custodian data feeds and video marketing review. SurgeONE is now the only firm supporting this range of risk and compliance operations in one exam-ready platform.
Point solutions each see one slice. Meanwhile, off-channel communications remain an enforcement priority, supervision workloads keep growing, and employees adopt generative AI faster than firms can write policy.
One platform. One record.
Archiving, e-comms review, off-channel monitoring, policies, OBA reviews, audits, vendor due diligence, custodian data, cybersecurity, data operations and AI governance run on one workflow, one audit trail and one set of guardrails.
What’s new
- Capture and review: Texts and messaging apps are archived alongside email, supporting SEC Rule 17a-4, Advisers Act Rule 204-2 and FINRA Rules 3110 and 4511.
- Avery at work: Avery drafts policies, triages OBA disclosures, gathers audit evidence and organizes vendor due diligence, with expert review.
- AI governance: TrustGate enforces policy on employee AI use, AI conversations are archived, and shadow AI detection flags unapproved tools.
When the SEC asks, Avery answers. Avery gathers answers to an examiner’s request list from across the platform and produces a detailed report. Qualified experts review every answer before it goes out, and the whole process is logged. Avery works only on the firm’s own data, under role-based permissions and approval thresholds.
“Point solutions each answer a piece of the question,” said Sid Yenamandra, Founder and CEO of SurgeONE.ai. “Avery Actions does the work across compliance, cybersecurity and data functions, with qualified experts standing behind every result. Compliance, cybersecurity and data are not optional for a regulated firm, and a new era has arrived in how those teams get the work done. SurgeONE and Avery are the AI-empowered tools that can help firms stay ahead in this quickly evolving environment.”
“SurgeONE brings our cybersecurity compliance and vendor management into one platform,” said Aaron Spradlin, Chief Information Officer at United Planners Financial Services. “That gives our team better visibility into where we stand and less time spent piecing it together.”
“We started with SurgeONE for cybersecurity and vendor management and are now expanding into registration, onboarding and marketing review,” said Brian Kobel, Enterprise Technology Solutions Sr Manager, United Planners Financial Services. “Their team is working alongside ours to build a transition that fits how our firm operates.”
“We brought our data onto SurgeONE because they understand the compliance use case and can simplify the work of turning multiple data sources into actionable information,” said Rich Whalen of Equity Services, Inc. “Having Avery support our experts as they build the data normalization rules has made a real difference.”
See Avery Actions at the SurgeONE.ai booth at the NSCP National Conference, Oct. 25-28, at the Hyatt Regency Grand Cypress in Orlando.
About SurgeONE.ai
SurgeONE.ai is an expert-led AI platform purpose-built for SEC, FINRA, and state-regulated financial firms. Built by former regulatory professionals, broker-dealer CCOs, cybersecurity practitioners, and enterprise data engineers, it unifies compliance automation, cybersecurity, regulatory intelligence, and data operations in one system.
To schedule a personal demonstration, visit www.SurgeONE.ai or contact [email protected].
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