Theta Lake Blog

Supervision & surveillance: 10 tips to keep regulators and staff happy

Posted by Stacey English on Jul 28, 2021 4:30:00 AM

Financial services firms have long used technology to supervise the communications and activities of employees, to ensure compliance with regulatory requirements and be able to detect issues such as market abuse, mis-selling or data privacy. It’s a key control for meeting regulatory obligations including MiFID II,  CFTC, FINRA, IIROC and GDPR and a standard feature of working in a regulated industry. Likewise data loss prevention tools are commonplace across businesses to reduce the risks of data loss and exposure.  All designed to protect consumers, employees, and shareholders.  

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Topics: compliance, data leakage, data loss, supervision, record-keeping, surveillance, monitoring

Public Records Requests: The challenge of identifying data within modern communications

Posted by Stacey English on Jul 14, 2021 9:30:00 AM

As state and local government employees use collaboration and chat tools such as Microsoft Teams, Zoom, Cisco Webex, RingCentral and Slack to interact with each other and the public, the ability to search the full range of communications and content is critical.   Whether it's a shared screen, whiteboard or chat conversation, government organizations must be able to quickly identify information about a specific individual or topic to meet public records requests. The legacy technology tools that agencies use to perform basic keyword searches on email, SMS, or social media content are insufficient in the era of collaboration and dynamic chat. State and local governments must ensure that their platforms for search, retrieval, and management of data align to the new applications employees are using for day-to-day business interactions. 

Hear how Theta Lake addresses these issues with a solution built to solve state and local government challenges:

 

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Topics: chat compliance, state & local government

Why Modern Chat is a Challenge for Email Archives and DLP Tools

Posted by Stacey English on Jun 30, 2021 6:30:00 AM

The rapidly increasing use of chat in modern work-from-anywhere workplaces has exposed new compliance, privacy, and security risks. Not least the need to comply with regulatory obligations for retention, supervision, privacy and security mandated by regulators worldwide.

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Topics: compliance, chat compliance

Misconduct In Chat – The Risks And How To Reduce Them

Posted by Stacey English on Jun 23, 2021 8:27:58 AM

Billions of dollars in fines and rising

Nearly half a billion dollars in fines announced by the European Commission for trading cartels involving ten global banks is a stark reminder of the challenges firms face in monitoring chat and instant messages to detect misconduct. Communications in chat rooms enabled the sharing of commercially sensitive information to go undetected for several years.

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Topics: chat compliance, regtech

Automated content review routing: smart, tailored, Efficient

Posted by Rosa Lear on Jun 15, 2021 8:45:00 AM

A question we often hear from customers is: “How do I manage the sheer volume of content, and how do I get the right reviewers to supervise it?

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Topics: voice compliance, regtech, data loss

Dynamic Duo: Theta Lake and RingCentral Bring Digital Transformation to Attivo Group

Posted by Rosa Lear on Jun 10, 2021 5:00:00 AM

If the last 14 months have taught us anything, it is the importance of being able to pivot not only quickly, but securely. For many organizations, that requires leaning into unified communication and collaboration platforms in ways they never have before. The concept of “work from anywhere” has gained traction within the last year and organizations that have been able to embrace the concept and continue to build trusted relationships with their customers saw an increase in business because they were able to adapt. Implementing unified communication and collaboration tools was a strategic move, and as a result, organizations were able to deliver superior client experiences. In a recent webinar, “Using Theta Lake Compliance to Maximize your ROI with RingCentral,” Daniel Bridges, former CTO of Attivo Group, explains how Theta Lake and RingCentral transformed his organization and enabled him to offer a more seamless client experience.

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Topics: compliance, customer story, case study, webinar

Survey results: the risks and challenges of deploying Microsoft Teams

Posted by Stacey English on Jun 8, 2021 8:30:00 AM

Archiving and Data Protection 

An independent survey by Osterman Research, and sponsored by Theta Lake, sought the views of 142 IT decision-makers in mid to large organizations using Microsoft Teams. Participants were asked in-depth questions about their organization’s capabilities and challenges in relation to archiving and protecting the many data types produced within the platform.

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Topics: Microsoft Teams, survey

Video call fatigue – what are the risks and how to reduce them

Posted by Stacey English on Jun 2, 2021 2:00:00 AM

Nineteen video meetings in one day is Zoom CEO Eric S. Yuan’s personal record.   It’s a new way of working that many can relate to, and similarly struggle to get through.  The notion that extensive on-screen calls cause feelings of fatigue is supported by Microsoft’s own research.   But it’s not just the ‘constraints of video conferencing technology, when combined with increased cadence in meetings’ that’s causing fatigue, it’s the fact that video calls also require more engagement and concentration.  The absence of the non-verbal cues we’d normally rely on in person, the need for sustained attention through meetings and a lack of variety in what’s shown on screen are all contributors.

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Topics: compliance, data leakage, video conferencing

Tupicoffs Adds Market Leading Compliance and Supervision for Zoom

Posted by Rosa Lear on Apr 14, 2021 9:35:00 AM

Serving clients for more than 50 years, Tupicoffs is Australia's leading independent financial planning practice. With the commitment to unbiased advice, Tupicoffs prides itself on delivering exceptional service with a drive for impeccable compliance.  

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Topics: customer story, case study, zoom

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

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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