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Theta Lake is surveying senior financial services professionals to learn about the compliance challenges presented by emerging collaboration and video platforms.

As financial services firms expand their use of video for marketing, internal communication, and client prospecting purposes, compliance departments must consider the regulatory, privacy and security risks associated with these applications. Preliminary findings from Theta Lake’s survey indicate that 80% of respondents are either not prepared, or only somewhat prepared, for the compliant use of video at their organizationFINRA included firms’ practices around digital communications, including video, in its 2019 Report on Examination Findings and Observations, highlighting its importance as a key regulatory concern.

Through the survey findings, Theta Lake will provide participants with information about popular platforms and use cases for these new technologies as well as transparency into how firms are managing related compliance issues. The findings of the survey are intended to help firms with planning, resourcing, and direction, and allow them to benchmark their own practices to determine whether their staffing, strategy and operations are in line with the broader industry. If you want to find out how others are managing compliance for video and collaboration platforms, please take our survey. It should take 4 minutes to complete.

If you enter your contact details, we’ll share the findings of the Survey with you for benchmarking purposes. You’ll also be registered to win one of twenty $25 Amazon Gift Certificates. To receive the findings and enter the drawing, please submit your contact information at the end of the Survey.