Theta Lake Blog

Securing Tomorrow's Communications: The Power of RingCentral and Theta Lake

Posted by Susannah Hammond on Sep 20, 2023 8:34:01 AM

Co-author:Matt Lehman, Industry Principal, Financial Services, RingCentral

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Your Agenda for UCX Europe 2023

Posted by Stacey English on Sep 14, 2023 6:57:04 AM

UCX Europe is fast approaching and we’re excited to be a sponsor this year.

At Theta Lake we’re always looking ahead. With two days jam packed of topical panels and presentations, we've put together an agenda to help take the guesswork out of where to focus your attention. We hope it helps and can’t wait to see you there!

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Theta Lake Support for Salesforce Chatter, Continuing our Support for Salesforce Communications

Posted by Garth Landers on Sep 7, 2023 7:57:47 AM

The Salesforce ecosystem encapsulates a wide spectrum of communication types, including instant messaging, enterprise social and email messages to support customer relationship initiatives worldwide, across centralized, hybrid and remote work environments. Firms use Salesforce technologies to foster communication, support customer engagement and ensure customer retention. 

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UK Energy Regulator Issues Its First £5.4m Fine for a ‘Failure to Record and Retain Electronic Trading Communications’

Posted by Susannah Hammond on Aug 24, 2023 8:15:04 AM

Short summary video of the blog
The UK Office of Gas and Electricity Markets (Ofgem) has, for the first time, used its powers tofine a firm over £5.4m for failure to record and retain electronic trading communications. Between January 2018 and March 2020 the firm did not record or retain the communications made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions. The initial fine was £7,730,213 but as the firm admitted the breach and agreed to settle the matter, the fine was discounted by 30% and, accordingly, the penalty was reduced to £5,411,149.

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If Conduct Risk Could Be the ‘New’ Prudential Risk - How Are You Monitoring It?

Posted by Susannah Hammond on Aug 21, 2023 8:20:13 AM

Regulators and policymakers around the world remain focused on culture and conduct risk. Indeed, Ian Johnston, Chief Executive of the Dubai Financial Services Authority, has gone so far as to suggest that conduct risk could be considered the "new" prudential risk. In an article for Starling Insights, Johnson wrote "Until events of the past couple of months, I would have said ‘no’. But perhaps the Credit Suisse matter shows that a string of misconduct episodes might sufficiently affect the reputation of an institution that confidence could be eroded. And we know where that can lead."

Summary video of the blog

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Recordkeeping - Fines, Fines and More Fines - Another $555m for 11 More Institutions

Posted by Susannah Hammond on Aug 11, 2023 8:22:38 AM

The U.S. regulators the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have, once again, fined a raft of firms for ‘widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.’

Summary video of the blog

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Increasing Focus on Financial Promotions and Social Media Communications

Posted by Susannah Hammond on Aug 3, 2023 8:44:14 AM

The UK Financial Conduct Authority has published consultative guidance on how its financial promotion requirements apply to promotions on social media. By definition, all financial promotions should be fair, clear and not misleading. The FCA’s financial promotion rules are deliberately designed to be technology neutral and apply across all channels used to advertise, including social media.

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Enhancing Work Management with Theta Lake: Integrating Asana and

Posted by Garth Landers on Aug 1, 2023 8:45:15 AM

In today's dynamic business environment, with teams often distributed across multiple geographies, effective work management is crucial for organizations to stay organized, collaborate efficiently, and meet project deadlines. To streamline work processes and enhance productivity, many companies rely on popular work management tools like Asana and However, ensuring compliance and mitigating risks associated with these platforms can be challenging. 

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Digital Communications Governance, What It Is, How Theta Lake Fits and What You Need To Know

Posted by Garth Landers on Jul 26, 2023 9:43:00 AM

A new market category for communications compliance

On July 14, Gartner introduced a new market segment called Digital Communications Governance in two of their Hype Cycles, in both Storage and Data Protection and Data Security. Gartner clients use Hype Cycles to evaluate the maturity, adoption, and social application of specific technologies. Gartner listed Theta Lake as a sample vendor in this category.

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Artificial Intelligence - The Good and the Generative

Posted by Susannah Hammond on Jul 19, 2023 8:10:03 AM

Artificial intelligence or AI and its new, generative, iteration has hit the headlines. Depending on where you look the likes of ChatGPT is either going to save the world or be the cause of armageddon. Somewhere in between financial services firms need to navigate the real-world use case(s) for AI in a competitive marketplace where the successful deployment of AI has the potential for substantial cost savings and efficiencies.

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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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