---
title: Theta Lake Blog | Stacey English
description: 25 years' regulatory risk, compliance, audit and regtech experience within global financial services, regulators and technology providers. A Chartered Certified accountant with the highest results worldwide. Holds the Chartered Insurance Institute’s Certificate in Financial Planning, completed the Oxford Artificial Intelligence Programme through Saïd Business School and has first class degrees in BSc (Hons) Applied Accounting and BA (Hons) Business Administration. A Member of the Chartered Institute of Securities and Investments, the Personal Finance Society and the Chartered Insurance Institute. An Honorary Fellow of Cambridge Judge Business School - Cambridge Centre For Alternative Finance.
---
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## Theta Lake Blog
## Stacey English
25 years' regulatory risk, compliance, audit and regtech experience within global financial services, regulators and technology providers. A Chartered Certified accountant with the highest results worldwide. Holds the Chartered Insurance Institute’s Certificate in Financial Planning, completed the Oxford Artificial Intelligence Programme through Saïd Business School and has first class degrees in BSc (Hons) Applied Accounting and BA (Hons) Business Administration. A Member of the Chartered Institute of Securities and Investments, the Personal Finance Society and the Chartered Insurance Institute. An Honorary Fellow of Cambridge Judge Business School - Cambridge Centre For Alternative Finance.
Find me on:
### Recent Posts
## [26 More Firms Fined for Communications Recordkeeping Violations in Regulatory Crackdown - Key Takeaways](https://blog.thetalake.com/26-more-firms-fined-for-communications-recordkeeping-violations-in-regulatory-crackdown-key-takeaways)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Aug 22, 2024 7:00:00 AM
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The [SEC](https://www.sec.gov/newsroom/press-releases/2024-98) and the CFTC have announced charges against another 26 broker-dealers and investment advisers for significant recordkeeping failures. The combined $477.75 million in fines add to the penalties already levied for widespread and longstanding failures to maintain and preserve electronic communications bringing the total to over $3 billion.
The findings from this latest round of actions mirror those of other [recent enforcement cases](https://blog.thetalake.com/another-16-firms-fined-for-recordkeeping-key-takeaways), and serve as a stark reminder that the obligations and ongoing regulatory scrutiny on recordkeeping and supervision haven’t gone away.
[Read More](https://blog.thetalake.com/26-more-firms-fined-for-communications-recordkeeping-violations-in-regulatory-crackdown-key-takeaways)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/26-more-firms-fined-for-communications-recordkeeping-violations-in-regulatory-crackdown-key-takeaways#comments-listing)
## [Another 16 Firms Fined for Recordkeeping - Key Takeaways](https://blog.thetalake.com/another-16-firms-fined-for-recordkeeping-key-takeaways)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Feb 20, 2024 8:30:00 AM
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[](https://cta-redirect.hubspot.com/cta/redirect/4362641/8e07dd67-02ac-4bed-9838-10bf3d91e896)
An [investigation](https://www.sec.gov/news/press-release/2024-18) into the use of off-channel and unpreserved communications by the SEC has led to another 16 firms being fined for recordkeeping failures. The $81m in penalties adds to the $2.6bn already levied for failures to maintain and preserve electronic communications, serving as a stark reminder that regulators’ focus on recordkeeping isn’t going away.
[Read More](https://blog.thetalake.com/another-16-firms-fined-for-recordkeeping-key-takeaways)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/another-16-firms-fined-for-recordkeeping-key-takeaways#comments-listing)
## [2024 Predictions - Digital Communications Compliance](https://blog.thetalake.com/2024-predictions-digital-communications-compliance)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Jan 4, 2024 8:45:00 AM
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2023 was an eventful year for digital communications governance. Hundreds of millions in additional fines were imposed in the U.S., with the regulatory focus expanding from banks to include broker-dealers, investment advisers and credit rating agencies. The U.S. wasn’t alone with the UK regulator sanctioning a bank and its energy regulator fining a firm for failing to capture trading communications.
[Read More](https://blog.thetalake.com/2024-predictions-digital-communications-compliance)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/2024-predictions-digital-communications-compliance#comments-listing)
## [Latest Groundbreaking Research Reveals Critical Gaps in Governance and Compliance for Employee Communications](https://blog.thetalake.com/latest-groundbreaking-research-reveals-critical-gaps-in-governance-and-compliance-for-employee-communications)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Nov 30, 2023 9:00:28 AM
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*Co-author: [Matt Lehman](https://www.ringcentral.com/us/en/blog/author/matthew-lehman/),* Industry Principal, Financial Services, *RingCentral*
[Read More](https://blog.thetalake.com/latest-groundbreaking-research-reveals-critical-gaps-in-governance-and-compliance-for-employee-communications)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/latest-groundbreaking-research-reveals-critical-gaps-in-governance-and-compliance-for-employee-communications#comments-listing)
## [What 600+ Financial Services Leaders Revealed About Communications Compliance](https://blog.thetalake.com/what-600-financial-services-leaders-revealed-about-communications-compliance)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Oct 19, 2023 7:04:18 AM
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[-1.png)](https://blog.thetalake.com/what-600-financial-services-leaders-revealed-about-communications-compliance)
#### **The results are in**
Theta Lake is delighted to unveil its [2023/24 Digital Communications Governance, Compliance and Security Report](https://pages.thetalake.com/2023-digital-communications-governance-and-compliance-security-report?utm_campaign=WEB%202023%20Survey%20Report&utm_source=website&utm_medium=blog&utm_content=2023-survey-report). In its fifth year, this unique industry report provides an unparalleled insight into not only how modern unified communication tools are being used in practice and the challenges faced by firms in a unified communication and collaboration (UCC) powered work environment, but also current good and better approaches to managing compliance and security challenges.
[Read More](https://blog.thetalake.com/what-600-financial-services-leaders-revealed-about-communications-compliance)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/what-600-financial-services-leaders-revealed-about-communications-compliance#comments-listing)
## [Your Agenda for UCX Europe 2023](https://blog.thetalake.com/your-agenda-for-ucx-europe-2023)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Sep 14, 2023 6:57:04 AM
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UCX Europe is fast approaching and we’re excited to be a sponsor this year.
At [Theta Lake](http://thetalake.com/) 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!
[Read More](https://blog.thetalake.com/your-agenda-for-ucx-europe-2023)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/your-agenda-for-ucx-europe-2023#comments-listing)
## [2023 Regulatory Priorities from SEC & FINRA: Key Takeaways for Compliant Communications](https://blog.thetalake.com/2023-regulatory-priorities-from-sec-finra-key-takeaways-for-compliant-communications)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Feb 16, 2023 7:52:57 AM
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| At a Glance Both the [SEC](https://www.sec.gov/files/2023-exam-priorities.pdf)and [FINRA](https://www.finra.org/rules-guidance/guidance/reports/2023-finras-examination-and-risk-monitoring-program)have announced their examination priorities for 2023 giving investment advisers and broker dealers important insight into the areas to include in their compliance monitoring plans. For those tasked with maintaining compliance, security and data privacy across an organization’s unified communications there are specific areas to focus on to ensure the continuing deployment and use of platforms meet regulatory expectations, including: |
| --- |
[Read More](https://blog.thetalake.com/2023-regulatory-priorities-from-sec-finra-key-takeaways-for-compliant-communications)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/2023-regulatory-priorities-from-sec-finra-key-takeaways-for-compliant-communications#comments-listing)
## [2022 Modern Communications Compliance and Security Report](https://blog.thetalake.com/2022-modern-communications-compliance-and-security-report)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Oct 27, 2022 9:47:01 AM
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[.png)](https://blog.thetalake.com/2022-modern-communications-compliance-and-security-report)
Theta Lake has published its fourth [annual survey report on modern communications compliance and security](https://thtl.ke/3CIlFVZ), highlighting the complex challenges faced by those tasked with maintaining compliance, security and data privacy. The report is based on the views and experiences of more than 500 compliance and security professionals from the heavily-regulated financial services, healthcare and government sectors across the U.S., the U.K. and Canada. It provides a snapshot of how communication platforms are being used and the issues organizations are struggling with, enabling them to benchmark their own practices and expectations against the wider industry, identifying any gaps or areas of exposure they may have.
[Read More](https://blog.thetalake.com/2022-modern-communications-compliance-and-security-report)
0 Comments [Click here to read/write comments](https://blog.thetalake.com/2022-modern-communications-compliance-and-security-report#comments-listing)
Topics: [compliance](https://blog.thetalake.com/tag/compliance), [data leakage](https://blog.thetalake.com/tag/data-leakage), [zoom](https://blog.thetalake.com/tag/zoom), [Microsoft Teams](https://blog.thetalake.com/tag/microsoft-teams), [record-keeping](https://blog.thetalake.com/tag/record-keeping), [communications](https://blog.thetalake.com/tag/communications), [WhatsApp](https://blog.thetalake.com/tag/whatsapp), [SMS](https://blog.thetalake.com/tag/sms), [archiving](https://blog.thetalake.com/tag/archiving)
## [Regulatory Perspectives From Theta Lake](https://blog.thetalake.com/regulatory-perspectives-from-theta-lake-new-cms-rules)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Oct 3, 2022 6:45:00 AM
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**How to Comply With the New CMS Communications and Marketing Requirements for Medicare Advantage and Part D Conversations
New recording, disclosure, and compliance rules**
[New electronic communications recording, disclosure, and oversight rules](https://www.govinfo.gov/content/pkg/FR-2022-05-09/pdf/2022-09375.pdf) from the Centers for Medicare &Medicaid Services (“CMS”), effective 1 October 2022, highlight the heightened scrutiny around the sale of complex healthcare products, to promote transparency and protect consumers. In a digital age where prospects are bombarded with telemarketing calls, online advertising, social media, and promotions from celebrities and influencers, it’s more important than ever that they receive accurate information about sophisticated products. Clarity is particularly critical when it relates to the purchase of essential healthcare services.
The new CMS rules can be viewed as part of a broader global trend toward increased disclosure for complex healthcare, financial, or insurance products directly marketed to customers. Complaints about misleading advertising and sales of Medicare Advantage (“MA”) plans and Part D were the key catalyst for the CMS regulatory updates. In the one year period between 2020 and 2021 the number of complaints submitted to CMS soared from less than 16,000 to over 39,000 – a staggering increase.
[Read More](https://blog.thetalake.com/regulatory-perspectives-from-theta-lake-new-cms-rules)
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Topics: [compliance](https://blog.thetalake.com/tag/compliance), [healthcare](https://blog.thetalake.com/tag/healthcare), [record-keeping](https://blog.thetalake.com/tag/record-keeping), [electronic communications](https://blog.thetalake.com/tag/electronic-communications), [archiving](https://blog.thetalake.com/tag/archiving)
## [10 Predictions for 2022: Communications, Collaboration, and Compliance](https://blog.thetalake.com/10-predictions-for-2022-compliance-communications-collaboration-market)
Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Dec 15, 2021 9:04:45 AM
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The last two years have brought tremendous change, forcing us all to adapt and adopt technology, processes, and initiatives to stay connected virtually in an era where live interaction has been mostly restricted. The communication and collaboration market was front and center in making this possible.
[Read More](https://blog.thetalake.com/10-predictions-for-2022-compliance-communications-collaboration-market)
1 Comment [Click here to read/write comments](https://blog.thetalake.com/10-predictions-for-2022-compliance-communications-collaboration-market#comments-listing)
Topics: [compliance](https://blog.thetalake.com/tag/compliance), [predictions](https://blog.thetalake.com/tag/predictions), [surveillance](https://blog.thetalake.com/tag/surveillance), [electronic communications](https://blog.thetalake.com/tag/electronic-communications), [communications](https://blog.thetalake.com/tag/communications), [collaboration](https://blog.thetalake.com/tag/collaboration)
[All posts](https://blog.thetalake.com/all) [Next](https://blog.thetalake.com/author/stacey-english/page/2)
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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.
[www.thetalake.com](http://www.thetalake.com)
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