Tag: RingCentral

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again...

In the fast-paced world of data protection and privacy, 2024 marks a significant year with its own set of challenges and opportunities. Theta Lake, a provider of digital communications governance technology, has offered a comprehensive list of the top data protection strategies, focusing on how Theta Lake is pioneering in this space.

2023 was a pivotal year in digital communications governance. In the US, regulatory bodies imposed hundreds of millions in fines, extending their reach from banks to broker-dealers, investment advisers, and credit rating agencies. Similar actions were observed in the UK, with regulatory bodies sanctioning banks and fining firms for non-compliance in trading communications.

The SEC exam priorities for 2024 underscore the importance of compliance and recordkeeping within financial services. The focus will be on practices and products...

As penalties continue to rise for record-keeping failures, a new report from Theta Lake found that almost 98% of financials services leaders it surveyed were...

The wave of recordkeeping enforcement actions in the finance sector has now expanded to brokers, investment advisers, and credit rating agencies. Leading this charge are the U.S. Securities and Exchange Commission (SEC) and the Commodity Trading Futures Commission (CFTC).

Theta Lake and RingCentral enhanced their relationship. Looking towards the future, how are the two firms transforming comms security?

Theta Lake Inc has revealed that it has extend its existing partnership with RingCentral to bolster its compliance suite.

In a world that is constantly evolving, AI is proving to to be one of the biggest change-makers. How is it shaping finance? 

The UK's Financial Conduct Authority (FCA) recently released a ten-point checklist for companies in anticipation of the new Consumer Duty regulation set to be enforced on July 31, 2023. This regulation marks a pivotal shift in the regulatory landscape, impacting both new and existing services and products available for sale or renewal.