The EU AI Act is no longer a distant regulatory milestone, it is an active compliance obligation. Prohibitions took effect from February 2025, transparency rules are being phased in through 2026, and enforcement bodies are already operational. According to Theta Lake,…
RegTech Analyst: Can Financial Services Overcome the Barriers to AI Adoption?
AI has become one of the biggest investment priorities in financial services, but enthusiasm for the technology has not necessarily translated into effective adoption. Many institutions are still dealing with fragmented data, legacy infrastructure and disconnected tools, while the capabilities of…
RegTech Analyst: Shadow AI is Outpacing Enterprise Compliance Controls
Enterprise AI adoption is racing ahead of the governance frameworks meant to contain it, and the gap between what AI systems can do and what organisations can actually investigate is widening. AI researcher Ryan Greenblatt, who led the transcript analysis of…
FinTech Global: The Hidden Compliance Gap in Multi-Channel Archiving
Compliance and legal teams are grappling with a communications landscape that has outgrown the archiving tools built to govern it, prompting a shift towards what the industry now calls Digital Communications Governance and Archiving (DCGA). A single regulated conversation can now…
FinTech Global: Using AI Communications and Interactions Governance to Unblock AI-Assisted Productivity and ROI in Regulated Environments
In the inaugural session of Theta Lake’s Financial Services AI Governance Series, industry leaders gathered to explore how regulated organizations can use AI communications and interaction governance to unblock AI-assisted productivity and drive ROI across workplace communication and collaboration environments. The…
FinTech Global: Navigating the New Standards for AI Trust in Security and Compliance
For many years, the customer due diligence playbook in financial services was predictable. Procurement teams asked for SOC 2 Type II and a PCI DSS certification, since payment data tends to surface across digital channels and tools. According to Theta Lake, those…
FinTech Global: Why Theta Lake Believes Your Firm Needs a Microsoft Certified Teams Compliance Recorder
Microsoft Teams has become the backbone of communication for financial services firms worldwide. Millions of regulated conversations including client calls, advisory meetings, deal negotiations, happen on Teams every day. For compliance teams, that ubiquity creates both an opportunity and an obligation:…
RegTech Analyst: From Guardrails and Observability to Investigation and Remediation – Understanding AI Communications Governance
As financial services firms race to harness artificial intelligence, security, compliance, legal, and IT teams face a delicate balancing act: enabling high-value AI capabilities while effectively managing exposure to risk. In a recent session of Theta Lake’s Financial Services AI Governance Series,…
RegTech Analyst: AI-Washing is Over – Why ISO 42001 Now Decides Vendor Trust
For years, customer due diligence in financial services followed a predictable script. Procurement teams asked for SOC 2 Type II and PCI DSS certification, given how often payment data flows across digital channels and tools. According to Theta Lake, these remain essential…
RegTech Analyst: The Voice Compliance Challenge – Navigating The Shift To Cloud Communications
As financial markets move to cloud-based communications, voice compliance is entering a period of rapid change. Legacy recording and surveillance tools are struggling to keep pace with fragmented communication channels, evolving regulations and the rise of unified communications platforms. So, how…