Tag: Theta Lake

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.

US regulators have imposed significant fines on financial services firms for non-compliance with communication recordkeeping obligations.

Gartner's recent foray into Digital Communications Governance (DCG) marks a pivotal moment in the tech landscape.

Theta Lake's collaboration with Zoom, which started in 2018, has been pivotal in elevating compliance and security standards for Zoom’s unified communications (UC) platform.

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

Compliance security specialists Theta Lake is set to be implemented into the Zoom platform as part of the communications giant's new ISV Exchange Program.

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...

A worrying 74% of IT and compliance professionals in the US and UK feat their staff might be using unsupervised communication channels - a rise from 66% in 2022. This finding comes from a pioneering survey has been commissioned for Theta Lake, a premier figure in Digital Communications Governance (DCG).

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).

FinTech Global recently spoke to Devin Redmond - CEO and co-founder of Theta Lake - to learn more about the company.