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Stay off the SEC’s radar.

HarmCheck: Restricted List

Trading with restricted entities can land you in serious legal trouble. HarmCheck: Restricted List automatically checks your communications and transactions against restricted lists, making sure you don’t accidentally cross a compliance line. No more guesswork—just clean, compliant business.

HarmCheck Restricted List

Preventing costly violations

HarmCheck: Restricted List scans emails, chats, and internal messages to catch and prevent:
 

  • Restricted Entity Violations – Mentions of individuals or organizations your firm is prohibited from engaging with.

  • Unauthorized Trading Language – Communications that could signal improper trades or conflicts of interest.

  • Insider Information Leaks – Messaging that could lead to insider trading risks.

  • Failure to Comply with Regulatory Restrictions – Gaps in adherence to SEC, FINRA, or internal compliance policies.

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We flag risks before they become violations—keeping your firm on the right side of compliance.

HarmCheck for Outlook Examples

Works where you do—seamless integration with your existing tools

HarmCheck: Restricted List fits into your existing workflow, providing real-time protection for Gmail, Microsoft Outlook and Teams.

Protect your company today

Don’t wait for a misstep to become a headline. Email sales@harmcheck.ai to book a demo or sign up for a free trial. Let’s keep your communications clear, compliant, and catastrophe-free.

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