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

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

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

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

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

Webinar Series: HOW TO for Compliance and Security of Zoom, Cisco Webex, MS Teams, RingCentral, and more

Posted by Rosa Lear on Mar 24, 2021 7:30:00 AM

Compliance and security for modern collaboration platforms like Zoom, Microsoft Teams, Cisco Webex, RingCentral, Red Box, and more is critically important particularly in light of the increase in usage of these platforms. To help you navigate the complexity and demonstrate a better way of conducting compliance and risk detection within these platforms, we've created a webinar series that deep dives into various areas. This post contains our upcoming webinars that you can attend live and others that are available on-demand. Each is between 10 - 25 minutes in length. 

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Topics: compliance, security, educational

HOW TO... Webinars for Security & Compliance for Modern Collaboration

Posted by Rosa Lear on Feb 18, 2021 4:30:00 PM

"How do I do [fill in the gap]?"  OR  "Just HOW do you make security and compliance easier for [Zoom, Webex, MS Teams, RingCentral, RedBox...]? 

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Topics: compliance, security, educational

FinTech Global Names Theta Lake in its Annual Buyer's Guide

Posted by Rosa Lear on Feb 9, 2021 6:49:49 AM

RBG-Linkedin-Theta Lake

FinTech Global released its annual Buyer's Guide this morning, which spotlights financial institutions and supplier ecosystem members in the regulatory technology (RegTech) market. The guide is intended to be a tool for financial institutions to navigate the available solutions, technologies, and suppliers of the RegTech market.

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Topics: compliance, regtech

A Single Confidential Doc Can Leave A Company Scrambling to Recover

Posted by Marc Gilman on Jan 28, 2021 11:35:20 AM

Typically, when we think about data breaches or loss, we picture scenarios where vast troves of personal data are accessed through brute force attacks or phishing attempts, resulting in thousands or millions of records being impacted. However, the release of smaller amounts of data, even a single PDF document or PowerPoint slide, can have serious and damaging ramifications for an organization.

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Topics: compliance, security, data leakage

Compliance for Healthcare: Protect ePHI and Monitor Video Collaboration

Posted by Rosa Lear on Jan 26, 2021 12:05:27 PM

The healthcare industry is rapidly switching to telemedicine, pharma related collaboration, and virtual examination, especially during the pandemic. Video conferencing and collaboration platforms like Zoom are becoming a critical part of core healthcare operations. Telemedicine appointments increased 154% from January to March 2020 because of the pandemic and will continue to be a staple of healthcare into the future.  

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Topics: compliance, partner, healthcare

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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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