--- title: Theta Lake Blog | chat compliance description: chat compliance | Theta Lake Blog --- [![Theta Lake](https://blog.thetalake.com/hubfs/Theta_Lake_June2018/Images/new-logo.png) ![Theta Lake](https://blog.thetalake.com/hubfs/Theta_Lake_June2018/Images/TL_logo_transparent.png)](https://thetalake.com) - Solutions - [Call Recording](https://thetalake.com/solutions/call-recording/) - [Compliance Training](https://thetalake.com/solutions/employee-compliance-enablement/) - [Data Loss Protection](https://thetalake.com/data-loss-protection/) - [Safe Collaboration](https://thetalake.com/safe-collaboration/) - [Video Conferencing](https://thetalake.com/solutions/video-monitoring/) - [Video Marketing](https://thetalake.com/solutions/video-marketing/) - [Product](https://thetalake.com/theta-lake-product-portfolio/) - [Unified Capture](https://thetalake.com/products/unified-capture/) - [Unified Search, Discovery and Replay](https://thetalake.com/products/unified-search-discovery-and-replay/) - [Proactive Compliance](https://thetalake.com/products/proactive-compliance/) - [Integrations](https://thetalake.com/integrations/) - [Archive Integrations](https://thetalake.com/integrations/archive-integration/) - [Collaboration Platforms](https://thetalake.com/integrations/collaboration-platforms-integrations/) - [Video Content Management](https://thetalake.com/integrations/video-content-management-integrations/) - [Resources](https://thetalake.com/resources/) - [Blog](https://blog.thetalake.com/) - [About](https://thetalake.com/about/) - [News](https://thetalake.com/about/#news) - [We’re Hiring](https://thetalake.com/about/#hiring) - [Contact Us](https://thetalake.com/contact-us/) - [Request a Demo](https://thetalake.com/request-a-demo/) ## Theta Lake Blog ## [Examining Recent Collaboration and Chat E-comms Compliance Guidance from ESMA, FCA, FINRA, SEC](https://blog.thetalake.com/examining-recent-collaboration-and-chat-e-comms-compliance-guidance-from-esma-fca-finra-sec) Posted by [Marc Gilman](https://blog.thetalake.com/author/marc-gilman) on Oct 19, 2021 10:20:23 AM - [Tweet](https://twitter.com/share) [![](https://blog.thetalake.com/hubfs/SocialCard-Blog-RecentGuidancefromRegBodies-101921.png)](https://blog.thetalake.com/examining-recent-collaboration-and-chat-e-comms-compliance-guidance-from-esma-fca-finra-sec) It’s clear that the flexibility regulators including ESMA, the FCA, FINRA, and the SEC offered financial services firms around the relatively unfettered use of modern collaboration and chat tools like Zoom, Microsoft Teams, and Webex by Cisco during the pandemic has come to an end.  No action relief issued at the outset of COVID-19 has expired, and regulatory missives in the second half of 2021 indicate a marked change of tone and expectations for firms using dynamic communication platforms. [Read More](https://blog.thetalake.com/examining-recent-collaboration-and-chat-e-comms-compliance-guidance-from-esma-fca-finra-sec) 0 Comments [Click here to read/write comments](https://blog.thetalake.com/examining-recent-collaboration-and-chat-e-comms-compliance-guidance-from-esma-fca-finra-sec#comments-listing) Topics: [compliance](https://blog.thetalake.com/tag/compliance), [chat compliance](https://blog.thetalake.com/tag/chat-compliance), [surveillance](https://blog.thetalake.com/tag/surveillance), [monitoring](https://blog.thetalake.com/tag/monitoring), [regulations](https://blog.thetalake.com/tag/regulations), [electronic communications](https://blog.thetalake.com/tag/electronic-communications) ## [Evidence & Audit Trails - The Compliance Challenges of Modern Communications](https://blog.thetalake.com/evidence-and-audit-trails-the-compliance-challenges-of-modern-communications) Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Sep 14, 2021 11:17:04 AM - [Tweet](https://twitter.com/share) [![](https://blog.thetalake.com/hubfs/Blog-Evidence%20%26%20Audit%20Trails-1200x627.png)](https://blog.thetalake.com/evidence-and-audit-trails-the-compliance-challenges-of-modern-communications) Collaboration tools like [Microsoft Teams](https://thetalake.com/integrations/microsoft/), [Zoom](https://thetalake.com/integrations/zoom/) and [Webex Teams](https://thetalake.com/integrations/cisco-webex-teams/), [RingCentral](https://thetalake.com/integrations/ringcentral/) and [Slack](https://thetalake.com/integrations/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. [Read More](https://blog.thetalake.com/evidence-and-audit-trails-the-compliance-challenges-of-modern-communications) 0 Comments [Click here to read/write comments](https://blog.thetalake.com/evidence-and-audit-trails-the-compliance-challenges-of-modern-communications#comments-listing) Topics: [compliance](https://blog.thetalake.com/tag/compliance), [chat compliance](https://blog.thetalake.com/tag/chat-compliance), [record-keeping](https://blog.thetalake.com/tag/record-keeping), [financial services](https://blog.thetalake.com/tag/financial-services), [evidence](https://blog.thetalake.com/tag/evidence) ## [Public Records Requests: The challenge of identifying data within modern communications](https://blog.thetalake.com/public-records-requests-how-to-solve-for-collaboration-platform-challenges) Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Jul 14, 2021 9:30:00 AM - [Tweet](https://twitter.com/share) [![](https://blog.thetalake.com/hubfs/Blog-Image-S%26L-1-1200x627%20(3)-1.png)](https://blog.thetalake.com/public-records-requests-how-to-solve-for-collaboration-platform-challenges) As state and local government employees use collaboration and chat tools such as [Microsoft Teams](https://thetalake.com/integrations/microsoft/), [Zoom](https://thetalake.com/integrations/zoom/), [Cisco Webex](https://thetalake.com/integrations/webex/), [RingCentral](https://thetalake.com/integrations/ringcentral/) and [Slack](https://thetalake.com/integrations/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: Check out this video:  [https://share.vidyard.com/watch/KYwjshoMMhhBE1KEhY2m8y?](https://share.vidyard.com/watch/KYwjshoMMhhBE1KEhY2m8y?)   [Read More](https://blog.thetalake.com/public-records-requests-how-to-solve-for-collaboration-platform-challenges) 0 Comments [Click here to read/write comments](https://blog.thetalake.com/public-records-requests-how-to-solve-for-collaboration-platform-challenges#comments-listing) Topics: [chat compliance](https://blog.thetalake.com/tag/chat-compliance), [state & local government](https://blog.thetalake.com/tag/state-local-government) ## [Why Modern Chat is a Challenge for Email Archives and DLP Tools](https://blog.thetalake.com/modern-chat-challenges-for-email-archives-and-dlp-tools) Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Jun 30, 2021 6:30:00 AM - [Tweet](https://twitter.com/share) [![](https://blog.thetalake.com/hubfs/SocialCard-Blog-Modern%20Chat%20-%20Challenges%20for%20Email%20Archives%20(1).png)](https://blog.thetalake.com/modern-chat-challenges-for-email-archives-and-dlp-tools) 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. [Read More](https://blog.thetalake.com/modern-chat-challenges-for-email-archives-and-dlp-tools) 0 Comments [Click here to read/write comments](https://blog.thetalake.com/modern-chat-challenges-for-email-archives-and-dlp-tools#comments-listing) Topics: [compliance](https://blog.thetalake.com/tag/compliance), [chat compliance](https://blog.thetalake.com/tag/chat-compliance) ## [Misconduct In Chat – The Risks And How To Reduce Them](https://blog.thetalake.com/misconduct-in-chat-the-risks-and-how-to-reduce-them) Posted by [Stacey English](https://blog.thetalake.com/author/stacey-english) on Jun 23, 2021 8:27:58 AM - [Tweet](https://twitter.com/share) [![Misconduct in Chat](https://blog.thetalake.com/hubfs/Image-Blog-Misconduct%20In%20Chat.png)](https://blog.thetalake.com/misconduct-in-chat-the-risks-and-how-to-reduce-them) #### **Billions of dollars in fines and rising** Nearly half a billion dollars in [fines](https://ec.europa.eu/commission/presscorner/detail/en/IP_21_2565) [announced](https://ec.europa.eu/commission/presscorner/detail/en/ip_21_2004) 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. [Read More](https://blog.thetalake.com/misconduct-in-chat-the-risks-and-how-to-reduce-them) 0 Comments [Click here to read/write comments](https://blog.thetalake.com/misconduct-in-chat-the-risks-and-how-to-reduce-them#comments-listing) Topics: [chat compliance](https://blog.thetalake.com/tag/chat-compliance), [regtech](https://blog.thetalake.com/tag/regtech) [All posts](https://blog.thetalake.com/all) Comment Here 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) ### Subscribe here to stay up to date! COPYRIGHT 2025 THETA LAKE, Inc. ALL RIGHTS RESERVED. [PRIVACY POLICY](https://thetalake.com/privacy-policy/).