Stacey English, Author at Theta Lake

Blog: Another 16 Firms Fined for Recordkeeping – Key Takeaways

An investigation into the use of off-channel and unpreserved communications by the SEC has led to another 16 firms being fined for recordkeeping failures. The $81m in…

Stacey EnglishFebruary 20, 2024

Regulatory Perspectives

Blog: 2024 Predictions – Digital Communications Compliance

2023 was an eventful year for digital communications governance. Hundreds of millions in additional fines were imposed in the U.S., with the regulatory focus expanding…

Stacey EnglishJanuary 4, 2024

Regulatory Perspectives

Blog: What 600+ Financial Services Leaders Revealed About Communications Compliance

The results are in Theta Lake is delighted to unveil its 2023/24 Digital Communications Governance, Compliance and Security Report. In its fifth year, this unique industry…

Stacey EnglishOctober 19, 2023

Articles

Corporate Compliance Insights: Companies Are Cracking Down on Chat Apps, But It’s Still Too Hard to Find What They’re Looking For

Firms planning to shore up data protection should consider incremental, risk-based approach to evaluating legacy systems. A hybrid communication environment has become the norm…

Stacey EnglishMay 24, 2023

2023 Regulatory priorities from SEC FINRA by Stacey English 1

Regulatory Perspectives

Blog: 2023 Regulatory Priorities from SEC & FINRA – Key Takeaways for Compliant Communications

At a Glance Both the SEC and FINRA have announced their examination priorities for 2023 giving investment advisers and broker dealers important insight into the areas to include in…

Stacey EnglishFebruary 16, 2023

Articles

Thomson Reuters Regulatory Intelligence: Managing the risks of Microsoft Teams, WhatsApp, Zoom, Slack and more

Published on Thomson Reuters 14-Dec-2022. By Stacey English, Theta Lake Theta Lake's fourth annual survey highlights the growing challenges financial services firms face in managing…

Stacey EnglishDecember 14, 2022

Regulatory Perspectives

Blog: 4th annual survey report on modern communications compliance and security

The report is based on the views and experiences of more than 500 compliance and security professionals from the heavily-regulated financial services, healthcare and government…

Stacey EnglishOctober 22, 2022

Articles

Thomson Reuters: Top 10 Takeaways From Messaging and WhatsApp Fines

The $1.8 billion in fines levied against 16 financial institutions for failing to capture,retain and supervise communications underlines regulators' growing determination to crack down on…

Stacey EnglishOctober 11, 2022

Regulatory Perspectives

Blog: How to Comply With the New CMS Communications and Marketing Requirements for Medicare Advantage and Part D Conversations

New electronic communications recording, disclosure, and oversight rules from the Centers for Medicare & Medicaid Services (“CMS”), effective 1 October 2022, highlight the heightened scrutiny…

Stacey EnglishOctober 3, 2022

Articles

Thomson Reuters: The communication compliance consequences of hybrid working

Regulators in the United States and the United Kingdom are continuing to focus on the compliance consequences of hybrid working. While government regulators may be…

Stacey EnglishMay 4, 2022

Articles

Compliance Clarified – A podcast by Thomson Reuters Regulatory Intelligence: Continuing regulatory challenges of hybrid working

Season 4, Episode 4: Continuing regulatory challenges of hybrid working In the fourth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is…

Stacey EnglishFebruary 22, 2022

Articles

GetVoIP: Theta Lake Talks – 2022 Enterprise Security Challenges

In December 2021, Theta Lake partnered with Verint, forming a strategic partnership poised to tighten the customer engagement firm’s grasp on collaboration security and compliance solutions.…

Stacey EnglishFebruary 9, 2022

Stacey English, Director of Market Intelligence at Theta Lake

Articles

Thomson Reuters: 10 compliance risks of using Zoom, Microsoft Teams and other collaboration platforms

This article was originally posted on Thomson Reuters. Download the blog by Stacey English here!

Stacey EnglishFebruary 4, 2022

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Articles

AB magazine: Beware the new data risks

New communication platforms require businesses to rethink their data security strategy The way businesses communicate and share information has been transformed by the pandemic. Microsoft…

Stacey EnglishAugust 18, 2021

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Theta Lake Product Portfolio

Unified Capture

Unified Search, Discovery & Replay

Proactive Compliance

Product Use Cases

Platform Architecture

Powerful Certified Capture Integrations

Featured Integrations

View All

Stacey English

Blog: Another 16 Firms Fined for Recordkeeping – Key Takeaways

Blog: 2024 Predictions – Digital Communications Compliance

Blog: What 600+ Financial Services Leaders Revealed About Communications Compliance

Corporate Compliance Insights: Companies Are Cracking Down on Chat Apps, But It’s Still Too Hard to Find What They’re Looking For

Blog: 2023 Regulatory Priorities from SEC & FINRA – Key Takeaways for Compliant Communications

Thomson Reuters Regulatory Intelligence: Managing the risks of Microsoft Teams, WhatsApp, Zoom, Slack and more

Blog: 4th annual survey report on modern communications compliance and security

Thomson Reuters: Top 10 Takeaways From Messaging and WhatsApp Fines

Blog: How to Comply With the New CMS Communications and Marketing Requirements for Medicare Advantage and Part D Conversations

Thomson Reuters: The communication compliance consequences of hybrid working

Compliance Clarified – A podcast by Thomson Reuters Regulatory Intelligence: Continuing regulatory challenges of hybrid working

GetVoIP: Theta Lake Talks – 2022 Enterprise Security Challenges

Thomson Reuters: 10 compliance risks of using Zoom, Microsoft Teams and other collaboration platforms

AB magazine: Beware the new data risks

Security and Compliance for Modern Collaboration Platforms