Articles Archives - Page 3 of 3

Articles

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…

Devin Redmond

Articles

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…

Devin Redmond

Articles

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.

Devin Redmond

Articles

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…

Devin Redmond

Articles

February 2, 2019

It’s Good to Digitally Talk: The Benefits of Communication Compliance AI

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…

Devin Redmond

Articles

January 29, 2019

RingCentral discusses communication compliance with Theta Lake’s Anthony Cresci:

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.…

Anthony Cresci

Articles

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…

Devin Redmond

Articles

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…

Devin Redmond

Articles

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…

Devin Redmond

Articles

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…

Devin Redmond

Articles

October 18, 2018

Nasdaq interviews Theta Lake CTO and Co-founder at Zoomtopia

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

Rich Sutton

Articles

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…

Devin Redmond

Articles

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,…

Devin Redmond

Articles

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…

Devin Redmond

Articles

August 1, 2018

Communication Compliance Conundrums Part 2: Hope Is Not A Plan:

Why Avoiding Communication Compliance Quandaries Puts Your Organization At Risk Fifty-four percent of compliance professionals expect their personal liability to increase for compliance failures of…

Devin Redmond

Articles

July 24, 2018

AWS Startups Blog: Theta Lake’s AI and ML for Communication Compliance:

For the average person, the idea of compliance and regulation technology doesn’t elicit much enthusiasm. But for Devin Redmond and Rich Sutton, co-founders of the…

Devin Redmond

Articles

July 19, 2018

Theta Lake forms two new partnerships to support its video compliance platform

The company has partnered with Vidyard, a platform designed to help organizations drive more revenue through online videos by enabling individual viewer tracking and improved…

Devin Redmond

Articles

June 29, 2018

Communication Compliance Conundrums Part 1: Digital Communications & Compliance:

Reltio offers a data management platform that harnesses a company’s data and applies the latest AI techniques to enable “self-learning” – the ability for a…

Devin Redmond