SurgeONE.ai released Avery Actions, calling it the industry's first proxy-based AI for compliance, network security, and data operations.

A single platform can provide communication archiving, electronic communication review, off-exchange communication monitoring, risk and governance operations, as well as AI governance. The output results of Avery are reviewed by qualified experts, and all content is recorded in a single inspection record.

Menlo Park, California, October 26, 2026 /PRNewswire/ — Today, at the national conference in NSCP, Avery Actions was launched. Avery serves as an assistant to SurgeONE and can now perform related tasks in compliance, network security, data, and AI governance operations. The output results of Avery are reviewed by qualified experts, and each operation is recorded in the same inspection log.

This release also adds new features such as SMS archiving, monitoring of off-exchange communication applications, integration with custodian data sources, and video marketing review. SurgeONE indicates that the company has now become the only enterprise that supports such a wide range of risk and compliance operations on a single, directly usable platform.

The company stated that each point-based solution can only see a part of the problem. At the same time, off-site communication remains a focus of law enforcement, the burden of supervision continues to increase, and employees are adopting generative AI faster than companies can formulate policies.

One platform, one record.

Archiving, electronic communication review, off-exchange communication monitoring, policy management, OBA review, auditing, supplier due diligence, custodian data, network security, data operations, and AI governance all operate under the same workflow, the same audit trail, and the same set of protection mechanisms.

New content added.

• Collection and Review: SMS and messaging applications can be archived alongside emails, in compliance with the requirements of the U.S. Securities and Exchange Commission (SEC) Rule 17a-4, Advisers Act Rule 204-2, as well as the Financial Industry Regulatory Authority of the United States (FINRA) Rules 3110 and 4511.
• Avery is responsible for initiating work: Avery can draft policies, handle diversion processes; OBA is tasked with disclosing information, collecting audit evidence, and organizing supplier due diligence materials. The relevant results will be reviewed by experts.
• AI Governance: TrustGate can implement policies for employees AI. AI conversations will be archived, and the shadow AI detection function will mark unauthorized tools.

The company stated that when SEC sends a query, Avery can provide an answer. Avery will gather responses to the inspectors' requests from across the entire platform and generate a detailed report. Each response is reviewed by qualified experts before it is sent out, and the entire process is also recorded. Avery operates solely based on the company's own data and is subject to role-based permissions and approval thresholds.

SurgeONE.ai Founder and CEO Sid Yenamandra stated: "Single-point solutions can only address a part of the problem each. Avery Actions is capable of working across compliance, cybersecurity, and data functions, with qualified experts endorsing each outcome. For regulated enterprises, compliance, cybersecurity, and data are not options; however, the way these teams perform their work has entered a new era. SurgeONE and Avery are tools empowered by AI that can help companies stay ahead in this rapidly evolving environment."

United Planners Financial Services Chief Information Officer Aaron Spradlin stated: " SurgeONE has integrated our network security compliance and supplier management into one platform. This allows our team to have a clearer understanding of the current situation and also reduces the time spent piecing together information."

United Planners Financial Services Senior Manager of Corporate Technology Solutions Brian Kobel stated: "We initially used SurgeONE to handle network security and supplier management, and now we are expanding its use to registration, onboarding, and marketing reviews. Their team is working side by side with ours to develop a transition plan that fits the way our company operates."

Equity Services, Inc. The Rich Whalen means: "We migrated our data to the SurgeONE platform because they understand the compliance usage scenarios and can simplify the process of converting multiple data sources into actionable information. When our experts were building data standardization rules, Avery provided support, which indeed brought about significant changes."

SurgeONE.ai indicates that during the NSCP National Convention held at Hyatt Regency Grand Cypress in Orlando from October 25th to 28th, you can visit the SurgeONE.ai booth to learn more about Avery Actions.

About SurgeONE.ai

SurgeONE.ai is an expert-led AI platform, specifically designed for financial institutions regulated by SEC, FINRA, and various state authorities. The company states that this platform is built by former regulatory professionals, chief compliance officers of brokerage businesses, cybersecurity practitioners, and enterprise data engineers, integrating compliance automation, cybersecurity, regulatory intelligence, and data operations into a single system.

For personal demonstrations, please visit www.SurgeONE.ai or contact [ email protected ].

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