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Regulatory Perspectives

Blog: Regulatory Conference Roundup – Gaps in Communications Recordkeeping Were a Key Theme

By June 16, 2023July 18th, 2023No Comments
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Spring 2023 has seen a busy conference season with financial services practitioners getting together to discuss current compliance and security challenges. Theta Lake’s experts presented at multiple forums and locations alongside both regulators and other senior industry figures. From an exceedingly wide-ranging set of agendas with over a thousand attendees, a central thread of the need for complete communications records and oversight was highlighted.

Fundamental to those discussions was the need for firms to have comprehensive records of all communications. That is the capability to capture all content and context (voice, video, emojis, GIFs, SMS, etc), preserve that content and subsequently retrieve it in its native context. Not least because complete records are the inescapable prerequisite to enable robust surveillance, eDiscovery and reporting.

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