Theta Lake Blog

Stacey English

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.
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Recent Posts

Regulatory Perspectives From Theta Lake

Posted by Stacey English on Oct 3, 2022 6:45:00 AM

How to Comply With the New CMS Communications
and Marketing Requirements for Medicare
Advantage and Part D Conversations

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Topics: compliance, healthcare, record-keeping, electronic communications, archiving

10 Predictions for 2022: Communications, Collaboration, and Compliance

Posted by Stacey English on Dec 15, 2021 9:04:45 AM

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.

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Topics: compliance, predictions, surveillance, electronic communications, communications, collaboration

Evidence & Audit Trails - The Compliance Challenges of Modern Communications

Posted by Stacey English on Sep 14, 2021 11:17:04 AM

Collaboration tools like Microsoft Teams, Zoom and Webex Teams, RingCentral and Slack have become integral to how we work.  With multiple ways to communicate and collaborate they’re vital for keeping workforces and customers connected whether remote, hybrid or office based.  And with less and less physical in-person interaction, users are making use of the rich features to liaise and share information.  Not least by adding personality and emotion with emojis, reactions and GIFs.  But modern communications create compliance challenges when it comes to providing evidence and proof that is so often required for regulatory, HR, litigation or complaints resolution issues.

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Topics: compliance, chat compliance, record-keeping, financial services, evidence

Who’s going back to the office?

Posted by Stacey English on Aug 4, 2021 5:15:00 AM

It’s a straightforward question.  With a complex answer.

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Topics: compliance, data loss, monitoring, return to work

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

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

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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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