Articles

A recent notice from FINRA gives compliance officers with remote workforces insights into the agency’s approach to remote work and supervision risks, which will be…

The COVID-19 pandemic has highlighted the need to update and fix some of our current tech systems, including remote work models. In companies that were…

Today, data is the key to your company’s survival. The more data you have, the more you know about your customers, policies, procedures, and business.…

As businesses pivot to support remote workers, they must be mindful of maintaining a safe, secure, and compliant working environment.

UCToday examines how Theta Lake's tech suite offers compliance support to regulated industries and education in the global health crisis.

In the wake of the COVID-19 pandemic, many firms are working from home using collaboration tools. Theta Lake’s Marc Gilman provides insight on regulatory requirements…

Theta Lake is responding to the health crisis by offering the new Compliant Collaboration Archive for free to aid retention across unified communications.

Payments, investing, financial planning and lending often spring to mind as “classic” fintech startups, but other business models like regtech, compliance, human resources and marketing…

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…

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…

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…

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…

Regulatory compliance is a critical focus for modern enterprises. And no where else is this felt than compliance teams at financial institutions (FI). Challenged by…

Theta Lake integrates with Cisco Webex Meetings to make video communications secure, simple, and scalable. Video communications with users outside an organization represents a fairly…

Theta Lake’s Anthony Cresci joins the RingCentral Connection podcast to explore why businesses today should balance what they may gain from AI with how it…

Theta Lake’s Marc Gilman explains that as firms increasingly leverage transcription-based technologies to gain insights into data, they must understand the basic mechanics behind these…

Technology has been used to manage regulatory risk since the advent of the ledger book (or the Bloomberg terminal, depending on your reference point). However,…

Financial services remains an industry built on relationships and trust. It's no surprise then that video communication is quickly becoming pivotal in establishing trust while…

Theta Lake's Co-Founder and CEO Devin Redmond joins a Global RegTech Summit 2019 panel to discuss why it's hard for AI to be made accountable…

Insurtech is in a new age of digital transformation. Insurtech entrepreneurs are searching for new advancements in data capture and analysis that allow insurance companies…

The growth of video within enterprises is staggering but very much expected as the benefits and results are becoming more easily demonstrated. As organizations continue…

Financial services companies are using technology to solve an array of problems, some of which aren’t being built in-house.  That’s prompting them to seek partnerships…

Easing Compliance Supervision Challenges for PRIIPs KID Verifications The EU Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products came into effect…

The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing guidance on several fronts, including the release of a report on “Technology…

SalesTech Interview with Anthony J. Cresci, VP Business Development and Operations, Theta Lake. Read the full interview here.

Regulations, if created correctly, can help innovation, what institutions have to find is the right balance between experimenting new ideas and meeting regulatory regimes, according…

RegTech and automated software provide significant advantages for asset managers and wealth managers alike. We’ve witnessed a rise of the machines in the finance sector, which…

How do you ensure compliance across communications channels? This is a critical question for companies in highly regulated industries, such as financial services and insurance.…