Theta Lake’s 100+ API-based integrations include today’s top UC and Collaboration platforms. Built in-house and certified by partners, customers can capture, archive, and supervise the broadest set of UCC features and modalities without caveats, fine print, or 3rd party reliance.
Contact centers are, by definition, all about communication. And the richness of the communication has been enhanced immeasurably by the deployment of unified communication and…
Theta Lake’s Marc Gilman analyzes practical ways compliance offers can avoid pitfalls of off-channel communications and recordkeeping by employees.The Securities and Exchange Commission announced that 16 firms—comprising…
An investigation into the use of off-channel and unpreserved communications by the SEC has led to another 16 firms being fined for recordkeeping failures. The $81m in…
2024 isn’t even a month old and already two U.S. regulators have updated their expectations on communications compliance. Firms need to be under no illusions…
Theta Lake’s Marc Gilman examines best practices for compliance officers after release of FINRA’s 2024 Annual Regulatory Oversight Report, which introduces new expectations for off-channel…
2023 was an eventful year for digital communications governance. Hundreds of millions in additional fines were imposed in the U.S., with the regulatory focus expanding…
The U.S. National Futures Association (NFA) has issued two fines both for failing to comply with communication recordkeeping obligations. An ‘unrealistic’ approach to communications compliance…
The SEC exam priorities for 2024 give an essential insight into likely practices, products, and services which will be the focus of the Division of Examinations in…
The results are in Theta Lake is delighted to unveil its 2023/24 Digital Communications Governance, Compliance and Security Report. In its fifth year, this unique industry…
The U.S. Securities and Exchange Commission’s Risk Alert provides additional information regarding the Division of Examination’s risk-based approach for both selecting registered investment advisers to examine and…
The U.S. Securities and Exchange Commission (SEC) and the Commodity Trading Futures Commission (CFTC) have widened their investigations and fined another series of firms for…
Regulators and policymakers around the world remain focused on culture and conduct risk. Indeed, Ian Johnston, Chief Executive of the Dubai Financial Services Authority, has…
The U.S. regulators the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have, once again, fined a raft of firms for…
The UK Financial Conduct Authority has published consultative guidance on how its financial promotion requirements apply to promotions on social media. By definition, all financial promotions should…
Artificial intelligence or AI and its new, generative, iteration has hit the headlines. Depending on where you look the likes of ChatGPT is either going…
The UK Financial Conduct Authority (FCA) has published a ten point checklist for firms to consider ahead of the Consumer Duty coming into force on July 31,…
Regulators around the world already expect firms to have comprehensive policies and procedures for record keeping. That focus is set to increase as not only…
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…
The U.S. Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CFTC) have fined three firms, two in the same group for ‘widespread…
The demise of multiple crypto firms has prompted regulators around the world to undertake in depth investigations into the governance, risk management and compliance arrangements…
The UK Prudential Regulation Authority has censured a bank for wide-ranging significant regulatory failings between December 2016 and May 2020, which spanned breaches relating to large exposure…
As part of our support for customers adopting the new "audit trail" standard for electronic recordkeeping under the SEC's modernized Rule 17a-4, Theta Lake has…