“Industry research shows that 83% of FSIs roll out tools like Zoom, Webex, and Microsoft Teams to employees with capabilities disabled which diminishes the end user experiences and impacts productivity.”
The Challenge
The need to capture, retain and supervise electronic written communications, or ‘eComms’, is a fundamental requirement for financial services institutions (FSIs) worldwide. Not only is it mandated by regulatory obligations such as SEC 17a-4, FINRA Rule 3110, FCA’s SYSC, and IIROC’s correspondence rules, it’s critical for responding to complaints, audits, or investigations.
Meet Regulatory Requirements While Fully Enabling and Delighting Your Workforce
Turning off functionality such as in-meeting chat, polling, or whiteboards, doesn’t have to be the answer to complying with regulations. With Theta Lake, you can turn on these features because we enable you to capture, archive, and supervise them. Arm your teams with the modern communication tools they need to be productive and have a better user experience.
Enable & Archive What You Want
Archive and supervise in-meeting chat without having to archive or record voice or video.
Choose, and Search, Your Archives
Archive and search in Theta Lake’s SEC 17a-4 compliant storage or your existing archive(s) and ediscovery systems.
Quick, Easy & Transparent Deployment
API integration deployment doesn’t require network or device changes and is transparent to end users.
Providing archiving and the industry’s only full analysis and supervision for all video, voice, and chat content.
Providing selective and differential archiving and supervision options for the financial services industry across any content type or mode.
Providing fully native capture, supervision, archiving, and third-party integration for chat.
Providing real time compliance coaching and resources for employees in live meetings.
Providing archiving, AI-assisted supervision, and third-party archive integration.
“Theta Lake helped us very quickly implement a full compliance suite to capture and record all aspects of Microsoft Team’s Meetings as well as proactively detect risk in the recordings, enabling our compliance teams to be much more effective and efficient when performing review. Not only are we compliant with MiFID II regulations, but our compliance teams are able to scale with the growing volume of unified communications we are recording.”
– Head of Technology with Longview Partners
Theta Lake has been recognized as a Visionary for its Completeness of Vision and Ability to Execute in the inaugural 2025 Gartner® Magic Quadrant™ for Digital Communications Governance and Archiving (DCGA) Solutions.
