Capture, Archive, and
Compliance for Symphony

Symphony collaboration creates a secure, encrypted, and effective way to communicate both internally and externally—from sending messages to sharing documents, files, videos, audio recordings, and other content. FINRA, FCA, CFTC, SEC, and other global regulators have outlined requirements for the capture, retention, and supervision of business communications, including audio, video, and collaboration data. As a result, it is critical for financial services firms to apply compliance, security, and supervision controls on these rapidly expanding business communication channels.

Theta Lake makes this simple by seamlessly integrating with Symphony to capture and archive all electronic communications, or integrate with legacy archives to enable long-term retention, eDiscovery, supervision, and detection of potential data loss in chat and shared content. Theta Lake also integrates with other leading Unified Communication vendors, including Microsoft Teams, Cisco Webex, Zoom, RingCentral, and more to provide a single compliance solution for modern collaboration tools.

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Symphony and Theta Lake partnership

Experience the Advantages

Theta Lake unlocks the benefits of chat collaboration for regulated industries with a purpose-built compliance platform that supervises and archives Symphony content.

LONG-TERM, SECURE ARCHIVING, AND EDISCOVERY

  • Automates capture, ingestion, and archiving of 1:1 and group channels, both in messages and in shared content (e.g., files, audio, videos, documents)
  • Securely preserves Symphony content within Theta Lake’s archive, purpose-built for modern collaboration. Extensive integrations with legacy archives are also available.
  • Secure, WORM compliant storage in SOC2 Type II certified data center

IMPROVE COMPLIANCE, REDUCE RISK

  • Applies AI-based technology to review 100% of Symphony content for compliance and data loss risks using 70+ pre-built policies and any customer-specific policies
  • Enables compliance teams to focus manual review efforts on content with identified risks

SAVE TIME AND MONEY

  • Fully threaded review screen provides access to historical messages and shared content, as well as advanced search and eDiscovery capabilities.
  • Legal Hold Case Management applies strict retention controls on specific records selected for uneditable preservation. Quickly search case content by keywords and 70+ different metadata filters, such as participants, policy detections, risk scores, and record media types, with easy-to-generate summary reports.
Compliance advisor overview for Symphony

Theta Lake Use Cases for Symphony

Archiving, Retention, and eDiscovery for Symphony Communications

Theta Lake enables compliance, legal, and risk teams to securely capture, retain, retrieve, and review fully threaded messages—both from 1:1 and group channels, as well as any files shared through Symphony collaboration.

Conversations are saved in their original threaded context. Plus, shared files and rich media are archived based on retention policies, enabling you to readily comply with SEC Rule 17a-4 data retention requirements. Enterprise-class search, reporting, and case management features ease the burden of managing messaging records and simplify legal hold requests.

Automating Risk Detection and Review

Existing supervision practices typically only focus on the text within Symphony chats, leaving a blind spot when it comes to files, audio recordings, video recordings, or images shared through these channels. Theta Lake takes a holistic approach to review. Our solution analyzes any form of shared content to identify potential data loss or compliance risks and makes it easily searchable for legal discovery.

Powered by deep learning and AI, Theta Lake automatically detects confidential data, risky behavior, and compliance risks, pointing reviewers to an exact piece of content that requires further investigation.

Data Loss Protection

Unlock the power of Symphony collaboration without jeopardizing confidential client and company information. Theta Lake detects the sharing of PII and confidential information, not only in the messages within private and group channels but also within any content that was shared from PDFs, Word Documents, to even audio and video recordings. 

Theta Lake surfaces data leakage detections in an AI-assisted workflow to enable compliance teams to be more efficient and effective in their review and mitigation of risky content.

To learn more about Theta Lake’s DLP solutions, click here.

Integration with Cloud9

Theta Lake integrates with Cloud9, one of the leading and most influential new cloud voice systems for financial services trading environments. Theta Lake’s compliant archiving and highly efficient supervision and reporting system enables firms using Cloud9 to meet key regulatory requirements for voice recording including MiFID II, CFTC, and FCA’s SYSC rules.

The integration of Cloud9 expands the coverage of Theta Lake’s multi-award winning product suite which provides compliance and security for modern collaboration platforms, adding to over 40 frictionless partner integrations that include Cisco Webex, Microsoft Teams, RingCentral, Slack and Zoom.

How It Works

1

Theta Lake natively integrates with Symphony to capture all chats and wall posts, enabling firms to apply rule-based retention policies in a WORM compliant archive.

2

Theta Lake automatically analyzes messages and shared content against chosen compliance policies, assigns a risk score, and routes high-risk content to compliance reviewers to take action.

3

Theta Lake natively integrates with Symphony to capture all chats and wall posts, enabling firms to apply rule-based retention policies in a WORM compliant archive.

Security and Compliance for Modern Collaboration Platforms

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