Join us for our on-going webinar program where we discuss the latest trends, regulatory oversight and input, partner integrations, product news, and more.


How Regtech is Shaking up the Legal Services


Speakers: Jackson Taylor (Complize), Adrian Kinderis (BrandHub), Victor Dominello (NSW Legislative Assembly),Tim Phillips Maicd (RegVisory), Marc Gilman (Theta Lake), Bec Spoor (Hammond Taylor)

Over the past decade, RegTech has accentuated its influence over the broad regulatory and legal landscape. Understanding RegTech and its impact and benefits on companies has become a key issue to in-house legal teams.

In this webinar, Complize, a startup and partner of Hammond Taylor, has brought together major stakeholders of the RegTech ecosystem in Australia to discuss fundamental questions and keep lawyers up to date with the trends they need to be aware of in 2022.

Our distinguished panel will examine the following elements:

  • Understanding Regtech and how it impacts the legal space.
  • How the Australian Government is supporting Regtech.
  • Economics and efficiency of process.
  • How RegTech is enabling transformation of an organisation’s risk management and compliance functions.
  • What is the decision-making process for organisations seeking to procure specific capability from the RegTech space to solve challenges in their organisations?
  • How Regtech is impacting the cost of compliance and the risk of non-compliance for organisations.

Leveraging unified communications to drive business value in financial services


Speakers: Matt Lehman (RingCentral), Christine Duque (Deloitte Consulting), Marc Gilman (Theta Lake)

With customers increasingly expecting to communicate with their financial services providers wherever they are via their own vehicle of choice, banks need to enhance their communications methods.

That’s where cloud-based, unified communications as a service (UCaaS) can help with a comprehensive and compliant platform including messaging, video and phone that enables firms to meet client demand by delivering fast, effective, and secure communications.

In this webinar, learn from banking industry communications and compliance experts:

  • How unified communications can enhance compliance and improve & personalize the customer experience
  • Why a secure, cloud-enabled strategy is so effective in increasing real-time conversations
  • How to enhance internal communications for improved collaboration and decision-making

How to Navigate the Compliance Challenges of Using Communication Tools Like Microsoft Teams, Zoom, Webex and More, Without Restricting Usage


Speakers: Devin Redmond, Stacey English, Marc Gilman

The compliance landscape continues to evolve, ushering in new requirements, expanded expectations, and exponential amounts of content to capture and supervise. Whether companies are using Microsoft Teams, Zoom, Webex, Slack or combinations of these platforms, the complexity increases, requiring compliance solutions that can minimize compliance program disruption, streamline processes, and aggregate supervision.

Over 90% of organizations use up to 6 or more collaboration platforms simultaneously, but 83% are turning off functionality due to compliance constraints. This leads to a reality where IT and the end-users of the business need to adopt modern communication and collaboration tools, but compliance teams don’t have the tools or resources to efficiently and effectively meet compliance needs for full featured collaboration tool usage. What’s the solution?

In this webinar, we’ll examine how:

  • IT teams and compliance teams can work symbiotically to minimize disruption and cost for compliance teams, ensure productivity, and improve security and compliance coverage
  • The increase in regulatory guidance and requirements around collaboration tools, including video, impacts immediate preparation and planning
  • Archiving architecture and review infrastructure must change to accommodate non-email based communications and their many nuances

Modern Communications Report: The Security and Compliance Risks of Collaboration Tools Usage in Financial Services


Speakers: Devin Redmond; Stacey English 

With video, voice, and chat communications playing an increasingly important role in today’s world, understanding how users use the platforms and what keeps IT managers and compliance teams up at night is critical to understanding how to develop solutions to address those concerns.

In this webinar, we discuss the findings of Theta Lake’s 2021 survey on modern communications and collaboration tool usage. Tune in to find out:

– Which type of communication(s) channel creates the most security and compliance concern
– How financial services are using communication platforms
– How organizations can increase productivity in collaboration tools without disrupting existing compliance practices


Microsoft + Theta Lake: Enabling The Next Generation of Modern Work


Speakers: Marc Sanders (Microsoft); Dan Nadir (Theta Lake)

After a fast moving year of adopting and implementing collaboration platforms to enable workforces to stay productive and in touch with each other, the next step is to ensure those platforms meet the evolving demands of the business.

According to Microsoft’s first-annual Work Trend Index, which surveyed 30,000 people from 31 countries, 73% of workers want their employers to continue providing flexible remote work options after the world returns to some semblance of normalcy.“The data is clear. Extreme flexibility and hybrid work will define the post-pandemic workplace,” the survey notes. “Employees want control of where, when, and how they work, and expect businesses to provide options. The decisions business leaders make in the coming months to enable flexible work will impact everything from culture and innovation to how organizations attract and retain top talent.”

As we continue to shift towards a more dynamic work environment leveraging UCaaS platforms we will need to continuously evolve our architecture to store, search, and address compliance requirements in video, voice, and chat interaction to keep up with the evolving demands from regulatory bodies.

In this webinar, we’ll discuss:

  • How Microsoft and Theta Lake can help organizations securely and compliantly enable full UCaaS functionality
  • Review current requirements and demands of the modern work environment
  • Discuss forward looking requirements to continue to enable Hybrid work

Compelling and Compliant Video Experiences for Financial Services


Speakers: Tyler Lessard (Vidyard), Anthony Cresci (Theta Lake)

Breaking through the deafening noise of email and communicating in a more human way with clients and customers is increasingly difficult, particularly for financial services organizations that must abide by stringent restrictions on content review that require review of content before it’s sent externally. 

Video allows for that humanized interaction, creating a connection that plain text email just can’t. But things have changed for financial services. Now there is a way to use video messages to interact with your clients compliantly, and, even better, leveraging intelligent technology that doesn’t require additional headcount or hours spent reviewing videos. 

Join us and find out more.


Leveraging AI for Faster, Easier, and Accurate Regulatory Compliance in the Digital Age


Speakers: Mark Goodman (Microsoft); Marc Gilman (VP of Compliance and General Counsel); Suhail Nimji (Theta Lake)

The increased adoption of modern collaboration tools and platforms resulting from the titanic shift to hybrid work during the pandemic has introduced a gap in oversight of these communication platforms and the risks they potentially introduce to your business.

Remote work poses significant regulatory, security, and privacy challenges for financial services firms. Risks can stem from increased usage of video, audio, and chat platforms that introduce these media-rich components not easily supervised by email-oriented archives or transcript-only-based platforms.

Interested in learning how to increase compliance and mitigate potential risks in this digital age? In this webinar, we’ll discuss how users can get the full benefit of a Microsoft Teams deployment by using Theta Lake’s comprehensive and purpose-built compliance solutions that utilize artificial intelligence. Let us show you how to better identify risk and increase compliance without adding more headcount.


Getting More Out of Enterprise Video with Automated Compliance Review


Speakers: David Jeyes (Vbrick); Dan Nadir (Theta Lake)

Today’s challenge for video marketing in regulated industries centers on compliance review. Basically, compliance review for approval, retention, and supervision of marketing videos is a manual, multi-step process that is slow and not scalable for compliance reviewers and video creators. Compliance teams can perform higher quality reviews on more video without dramatically increasing staffing, training, and oversight costs. This means more compliant video for the business to use to achieve better top line results. Join us to learn more about how to leverage video development strategies and automated supervision and review of those videos to get to market faster, easier, and peace of mind in knowing those videos follow corporate guidelines and compliance mandates.


Cloud Communications for Financial Services: Connecting the dots for your UCaaS Strategy


In addition to Zoom’s pre-stocked security features, your financial institution has the ability to add additional security and compliance measures using Theta Lake in the Zoom Apps Marketplace. Theta Lake is an AI-based solution that automatically detects data exposure, regulatory compliance, security, and conduct risks and provides a centralized workspace to manage the review and next steps.

With Theta Lake, FSIs can pinpoint risky behavior in their voice, video, and chat conversations to simplify the identification and review process. This enables full utilization of the Zoom platform to increase productivity, user experience, and employee engagement.

Join to learn how Zoom & Theta Lake:
– Monitors security settings for Zoom Meetings and Zoom Phone
– Identifies regulatory, information security, and conduct risks
– Follows SOC2 Type 2, 17a-4 Compliant Archive + rich eDiscovery
– Managing compliance with call recording and archive integrations
– The ease of implementation and deployment in regards to a cloud phone system


Ensure Videos Created by Your Employees and Customers are Compliant: Regulated Firms' Pathway to a Hybrid Workplace


Speakers: Ofer Luft (Kaltura); Anthony Cresci (Theta Lake)

As regulated firms continue to adopt and expand their use of video for daily communication with their clients and employees, compliance teams become more and more of a bottleneck, largely due to manual review processes, application of policy, or way to automate tasks and reporting.

In this session you will learn about Industry trends, the broken process and the challenges regulated firms face today, and how you can streamline and accelerates video pre-review efforts, applying state-of-the-art technologies to flag non-compliant content and automate the approval process.


Osterman Survey Results: Risks and Challenges of Deploying Microsoft Teams


Speakers: Michael Sampson (Osterman Research); Devin Redmond (Theta Lake); Marc Gilman (Theta Lake)

In this webinar, Michael Sampson, senior analyst at Osterman Research, will cover survey results about how private chats, edited and deleted messages, screen sharing, use of SharePoint files, and other capabilities of Microsoft Teams challenge compliance archiving, capture, security, and data loss protection mandates of heavily regulated organizations.

Watch if you:

  • Are a compliance officer, chief information security officer, or head of end user computing.
  • Are a Microsoft Teams user in a heavily regulated industry such as financial services or banking, healthcare, government, or insurance.
  • Want to learn more about how to solve for the compliance challenges present in the Microsoft communication environment.

#CiscoChat Live - AI in Enterprise Communications Compliance & Security


Speakers: Donald Tucker (Cisco Investments); Devin Redmond (Theta Lake)

Information leakage. Behavioral risks. Regulatory compliance. Theta Lake, a Cisco Investments company, worked with Cisco Webex to tackle these issues and ensure communication compliance & security for Cisco customers.

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Complete Compliance Archiving, Supervision, and Security Coverage for Cisco Webex Meetings and Teams using Theta Lake


Speakers: Justin Ramirez (Webex); Anthony Cresci (Theta Lake)

Video conferencing, voice calls, and chat collaborations have become the communication channels for today’s business world and this will continue to be the case even when we return to some semblance of normalcy. Ensuring that all channels are secure and in compliance with regulatory requirements is a top concern. Learn how Cisco’s investment in, and integration with, Theta Lake’s security and compliance suite reduces the cost of compliance and manages potential data loss.

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Using Theta Lake Compliance to Maximize Your ROI with RingCentral Office for Financial Services


Speakers: Melissa Rother (RingCentral); Daniel Bridges (Attivo Group); Anthony Cresci (Theta Lake)

As more and more business interactions occur on modern collaboration platforms and oversight mandates increase, proactive storage and review of those interactions becomes more and more important, especially for those in financial services in the US and the UK. Learn how Theta Lake and RingCentral partner to provide a compliant and secure Unified Communications office suite including chat, video, voice, SMS, and more.

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Chatting about Modern Chat: Stop Data Leakage, Be Compliant, Leverage Archives


Speakers: Devin Redmond (Theta Lake); Marc Gilman (Theta Lake)

Modern chat collaboration is increasingly relied upon as a quick way to connect and share information with fellow employees, partners, or customers. Leading platforms like Microsoft Teams, RingCentral Glip, Slack, Webex Teams, Zoom Chat, etc. have a dizzying number of ways to communicate and share information in text, images, files, whiteboards, starting meetings, etc. Much of this goes unanalyzed by security tools while also not being fully captured by existing email archives with basic chat connectors. This leads to data loss and costly compliance blindspots. In this webinar, we’ll discuss best practices for getting full visibility into your modern chat, providing important remediation and controls to stop data loss, and how to integrate with existing archive systems to keep investment leverage in your compliance stack.

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Rising Reliance on Modern Collaboration Tools - Reduce Risk & Remain Compliant


Speakers: Susannah Hammond (Thomson Reuters); Devin Redmond (Theta Lake)

While FCA and MiFID II require that all transaction-related telephone conversations and electronics communications are recorded and stored for five years, it doesn’t tell the whole story in terms of the compliance and risk management requirements. Widespread remote working has increased the challenge, added to which the sometimes manual compliance review processes are often time consuming and typically only survey a portion of the overall recorded material. This is where artificial intelligence and machine learning come into their own. In this webinar, Devin Redmond (CEO and co-founder of Theta Lake) and Susannah Hammond (Senior Regulatory Intelligence Expert at Thomson Reuters) explore the issues arising and how AI, ML, together with natural language processing, can help identity, manage, and mitigate the risk and, critically, provide evidence of compliance.

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