March 14, 2019
Global InsurTech Summit 2019: Devin Redmond, Theta Lake
February 28, 2019
Helping compliance teams with KID validations for PRIIPs by Marc Gilman
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…
February 28, 2019
Marc Gilman Discusses FINRA’s move to foster RegTech in Corporate Compliance Insights
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…
February 14, 2019
Theta Lake’s Anthony Cresci discusses AI and more with SalesTech Star
SalesTech Interview with Anthony J. Cresci, VP Business Development and Operations, Theta Lake. Read the full interview here.
February 9, 2019
Balancing Compliance with Innovation in Financial Services
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…
January 22, 2019
Zoom adds voice capabilities with Theta Lake for compliance
As promised last fall at its Zoomtopia user conference, video collaboration provider Zoom today brought its Zoom Voice cloud phone system to market, along with…
January 2, 2019
Video as compliance blindspot by RegTech Analyst:
Balancing communication compliance solutions for both legacy systems and new environments is one of the biggest challenges facing financial institutions, according to Theta Lake founder…
December 17, 2018
Why Smart RegTech isn’t a Threat to Compliance
New technologies have allowed for increased and varied avenues of communication between organizations and customers. This has led to improved transparency, more direct support and…
October 29, 2018
AI for Modern Call Recording Compliance
It is Time to Use AI to Modernize Call Recording Review and Supervision Audio recording has been commonplace for the financial services industry due to…
October 18, 2018
Nasdaq interviews Theta Lake CTO and Co-founder at Zoomtopia
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September 18, 2018
Gaining Employee Cybersecurity Compliance
Cybersecurity is an absolute necessity for keeping customer information, as well as more general company data, safe. Without it, your business is exposed to a…
September 14, 2018
Keeping Your Tech Team Motivated
When things are overwhelmingly busy — or too routine — it can be easy for tech teams to struggle to keep their energy levels high,…
September 3, 2018
Navigating MiFID II and GDPR
“MiFID II and GDPR can create a tension between retention and protection requirements around communications with clients and customers,” said Jagdev Kenth, a UK-based compliance…
