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Capture YouTube Videos for Compliance Review


Theta Lake enables compliance teams to be more efficient and effective in review and pre-approval processes of marketing and sales videos enabling marketing teams to continue focusing on creating relevant and timely video content.

Theta Lake logo and Youtube logo


New regulations from SEC and FINRA now require the review of new multimedia content like videos. With the adoption of video sharing on social media comes the challenge of  scaling compliance review and the resources required to monitor more complex content.

From an advertising and marketing perspective, regulations including FINRA Rule 2210 outlines content pre-review requirements for US broker-dealer retail communications. This ensures that they do not include false or misleading information and extend to content published to social media channels like YouTube.

Furthermore, compliance teams often don’t have the right tools to keep pace with the growing volume of content and ever-changing regulation changes.


Compliance for Sales and Marketing Videos

Stay Compliant at Every Stage of the Review Process

Centralized compliance review and archiving environment for YouTube marketing videos and webinars, reducing time-wasting content gathering efforts.


Leverage AI for risk detection, workflow automation, and script comparisons, to enable more efficient review.


Identify data leakage of PII and confidential information or employee misconduct that may harm your brand. In addition, ensure that all videos contain the appropriate disclaimers and disclosures.


Control retention policies, legal holds, and eDiscovery according to SEC Rule 17a-4 regulatory requirements..

Youtube video review overview

Preview Content for Compliance Approval

Theta Lake’s compliance suite allows content creators to upload videos for compliance review before publishing content publicly. Videos are checked against 40+ policies for potential violations in what is shown or said, and assessed a risk score. Reviewers can flag videos that may include promissory statements, do not include disclosures or disclaimers, or contain risky instances that may harm brand reputation like displaying inappropriate logos or firearms.


Easily Recall, Review, and Report on Archived Videos

Heavily regulated industries like Financial Services are subject to regulations and retaining public-facing advertisements and promotions, this becomes increasingly difficult for content being shared through social media. Because platforms like YouTube have significant business ROIs, avoiding the use of these platforms due to lack of compliance controls is not a good approach.

Theta Lake’s integration allows compliance teams to better funnel YouTube video activity to perform monitoring and reporting for record keeping purposes. Existing videos published to YouTube channels can be automatically ingested into Theta Lake’s system for safekeeping and made discoverable with our enterprise search capability for easier eDiscovery.


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