Theta Lake Blog

Theta Lake Perspective: SEC’s OCIE's 2021 Exam Priorities

Posted by Marc Gilman on Mar 30, 2021 9:00:00 AM

On March 3, 2021, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2021 Exam Priorities—the first such missive in the pandemic era. The Commission’s ability to be flexible and nimble in its approach to 2020 exams and plans for this year are laudable. To bolster that effectiveness, the recently created Event and Emerging Risk Examination Team will improve and expand OCIE’s rapid response capabilities. (I wrote more about the EERT here). Based on this year’s priorities, OCIE and EERT will be very busy in 2021.

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Topics: compliance

Webinar Series: HOW TO for Compliance and Security of Zoom, Cisco Webex, MS Teams, RingCentral, and more

Posted by Rosa Lear on Mar 24, 2021 7:30:00 AM

Compliance and security for modern collaboration platforms like Zoom, Microsoft Teams, Cisco Webex, RingCentral, Red Box, and more is critically important particularly in light of the increase in usage of these platforms. To help you navigate the complexity and demonstrate a better way of conducting compliance and risk detection within these platforms, we've created a webinar series that deep dives into various areas. This post contains our upcoming webinars that you can attend live and others that are available on-demand. Each is between 10 - 25 minutes in length. 

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Topics: compliance, security, educational

HOW TO... Webinars for Security & Compliance for Modern Collaboration

Posted by Rosa Lear on Feb 18, 2021 4:30:00 PM

"How do I do [fill in the gap]?"  OR  "Just HOW do you make security and compliance easier for [Zoom, Webex, MS Teams, RingCentral, RedBox...]? 

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Topics: compliance, security, educational

FinTech Global Names Theta Lake in its Annual Buyer's Guide

Posted by Rosa Lear on Feb 9, 2021 6:49:49 AM

RBG-Linkedin-Theta Lake

FinTech Global released its annual Buyer's Guide this morning, which spotlights financial institutions and supplier ecosystem members in the regulatory technology (RegTech) market. The guide is intended to be a tool for financial institutions to navigate the available solutions, technologies, and suppliers of the RegTech market.

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Topics: compliance, regtech

A Single Confidential Doc Can Leave A Company Scrambling to Recover

Posted by Marc Gilman on Jan 28, 2021 11:35:20 AM

Typically, when we think about data breaches or loss, we picture scenarios where vast troves of personal data are accessed through brute force attacks or phishing attempts, resulting in thousands or millions of records being impacted. However, the release of smaller amounts of data, even a single PDF document or PowerPoint slide, can have serious and damaging ramifications for an organization.

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Topics: compliance, security, data leakage

Compliance for Healthcare: Protect ePHI and Monitor Video Collaboration

Posted by Rosa Lear on Jan 26, 2021 12:05:27 PM

The healthcare industry is rapidly switching to telemedicine, pharma related collaboration, and virtual examination, especially during the pandemic. Video conferencing and collaboration platforms like Zoom are becoming a critical part of core healthcare operations. Telemedicine appointments increased 154% from January to March 2020 because of the pandemic and will continue to be a staple of healthcare into the future.  

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Topics: compliance, partner, healthcare

Best Practices for Managing Compliance and Video Conferencing

Posted by Rosa Lear on Jan 19, 2021 9:24:52 AM

Video conferencing has increased in importance over the last year due to the shift for most business employees to work away from the typical office location, allowing employees to simulate in-person collaboration. But it's also changed the way businesses interact with their customers, particularly in the financial services arena. 

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Topics: compliance, video conferencing

Is Using Transcription Enough to Stay Compliant? Maybe.

Posted by Rosa Lear on Jan 12, 2021 9:15:00 AM

Voice recording and review is an essential practice for highly regulated industries. This is because  regulations concerning recording, handling, and retention have been in place for some time. To addressreview requirements, many organizations have turned to voice-to-text transcription, which companies have deployed in waves in an effort to gain better insights into their audio and video information. While many use cases have been popular in regulated industries like financial services and healthcare, the relatively small gain in insights using transcription compared to the high resource and time cost to implement them hasn’t yielded the right result.

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Topics: compliance, educational

AI As A Blueprint For Fintech Startups

Posted by Marc Gilman on Dec 28, 2020 1:53:41 PM

While most startup founders would prefer not to pore over laws, regulations and interpretive materials to design a perfect product, it’s an essential exercise for those developing financial services solutions. For fintechs and the other finserv-related startups (e.g., regtech, suptech, etc.) understanding the regulatory obligations of customers and prospects will be core to your mission. In some cases, the process of interpretation and analysis might be a heavy lift involving expert outside counsel, lobbying efforts, and specialized consulting services.

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Topics: compliance

Theta Lake provides security and compliance for modern collaboration platforms using frictionless partner integrations with Cisco Webex, Microsoft Teams, RingCentral, Slack, Zoom, and more. Using patented machine learning and NLP, Theta Lake detects risks in: video, voice, chat, and document content across what is shared, shown, spoken, and typed. Those risks are surfaced in an AI-assisted, patent-pending review workspace that adds consistency, efficiency, and scale for security and compliance teams. All of this enables organizations to safely realize the full ROI of a collaboration-first workplace while reducing the cost of security and compliance.

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