Communication Compliance AI

Theta Lake is RegTech built for modern video, audio, and chat communications. Theta Lake reduces compliance review costs, increases compliance coverage, and directly improves the ROI of digital initiatives.

Theta Lake uses AI and Deep Learning to detect compliance risks in video collaboration, video marketing, social video, call recordings, and other rich media content. Detections feed into intuitive, AI-assisted supervision workflow with secure retention and compliant archiving options.

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Ingest, archive, and securely retain video, audio, and integrated chat content with compression options. This includes ingesting single file recordings and shared directories of recordings as well as live integrations with video conferencing, video chat, video marketing, and video content management systems.


Deep learning-based classification policies identify regulatory and corporate compliance risks across the dimensions of what was said, shown, and shared by whom in modern digital communications.


AI-assisted workflow aids consistent, effective, and efficient compliance and legal review of modern digital communications. Complete workflow logs and reports support audit requirements as well as legacy archive and eDiscovery interoperation.

RegTech Partnerships & Affiliations

What we’ve been up to…

February 13, 2020

RegTech for Compliance and Surveillance

Theta Lake's Marc Gilman will join the leading names in social media and experts in wealth management for an industry discussion on the best practices,…
call transcriptionArticles
February 3, 2020

UCToday: Why Compliance Require more than Voice-to-Text Transcription

Voice transcription tools still haven’t met last-mile quality thresholds for context, relevance, and actionability for highly regulated industries like healthcare and financial services. Regulations such…
February 3, 2020

Digital Communications and FINRA’s 2020 Exam Priorities

The Financial Industry Regulatory Authority’s Annual Risk Monitoring and Examination Priorities Letter provides a roadmap of key compliance issues for firms to consider in advance…
December 18, 2019

UCToday: Data Loss Prevention in Video Communications

It’s the multi-sensory appeal of adding video calling as part of true unified collaboration itself which creates multiple ways that data can be misused, from…
Press Releases
December 17, 2019

Theta Lake Achieves SOC2 Compliance

Theta Lake has achieved the SOC 2, Type 2 Report for its Compliance Suite.   Theta Lake's System and Organization Controls (SOC) Report is an independent…
December 13, 2019

The Potential Impact of FINRA’s 2019 Report

The publication of FINRA’s Report on Examination Findings and Observations is now in its third year. In 2019, the title and framing have changed slightly: “Recommendations” have…

Integrate. Classify. Supervise.

AI-based RegTech for video communication compliance.