Theta Lake Compliance Suite

Theta Lake provides a purpose-built compliance product suite for automatic policy detection of regulatory risks, compliance workflow, and archiving for video marketing, video conferencing, and audio recordings.

Overview

With the use of video marketing, video conferencing, video chat, and audio calls skyrocketing along with the intersecting increase in MiFID II, FCA, GDPR, FINRA, FFIEC, and similar regulatory requirements for communication compliance that include video monitoring and call recording, efficient communication compliance is increasing in complexity.

Theta Lake provides a purpose-built compliance product suite for automatic policy detection of regulatory risks, compliance workflow, and archiving for video marketing, video conferencing, and audio recordings. The Theta Lake suite detects risks in audio, visual, document, spoken, shown, and shared content in audio and video content.

Core capabilities of
The Theta Lake Platform

Integrated Capture

  • Video Chat Platforms including Zoom.
  • Video Marketing Solutions including Vidyard, Videolicious, YouTube, and more.
  • Cloud-based directories including O365.
  • Dedicated manual upload portal for system users.
  • Submission portal for script review with pre-approval of scripts, videos, and audio files.

Digital Content Analysis

  • Patent-pending technologies to detect compliance risks in what was said, shown, and shared by whom and to whom:
    • ComplianceMD – Detects regulatory and corporate compliance risks in video, audio, and documents using NLP and Deep Learning.
    • SceneIC Identifies and captures content in scene changes including OCR and image for identifying risky shown text or images.
    • TranscriptionRN Applies NLP-based relevance normalization to transcription files, removing manual verification burden for compliance reviewers… Makes sure you don’t miss a PII / GDPR hit on “account number thirty one four two” with a transcription of “accurate numb burr dirty won for to”.
    • True ParticipantID Identifies participants for using people-centric risk policies without preregistration requirements of Gen 1 face and voice recognition.

Compliance Coverage

  • Regulatory coverage with built-in policy templates for detecting risks such as FINRA, FFIEC Reg Z (TILA), MiFID II & FCA risks in both audio and video.
  • General coverage for GDPR, PII, PCI, CII, and related risks in audio and video.
  • Custom policy options for firm-specific compliance requirements in audio and video.

Advanced AI Workflow

  • Theta Lake Compliance Advisor adds risk scores and policy detections into reviewers’ comment flow saving time and directing the review process.
  • Visual Workflow Editing (VWE) – Provides built-in workflow templates; editable, visual workflow diagrams to easily understand and modify workflow steps; automated workflow validation and creation of one or multiple pre or post review workflows.
  • Smart Workflow Review (SWRV) routing policies – Intuitive rules that route video, document, or audio content based on its source, media type, which content policy template to apply, and which workflow you will use to supervise the content.

Compliant Archiving

  • STAR3 Secured Platform: Theta Lake secures all data from your videos, audio recordings, ad marketing scripts to all of the reviews and comments securely with unique, customer managed encryption keys. Your data is secure in transit, in access, at rest, in architecture, in redaction, and in removal.
  • Archive Lifecycle: Theta Lake gives you control of the lifecycle of the files so that you can decide how to manage them as they age, including support for legal hold, external auditor access requests, ongoing policy changes.

Integrate. Classify. Supervise.

AI-based RegTech for video communication compliance.

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