Theta Lake Blog

Fintech, regtech and the role of compliance in 2022: Challenges arising from technological opportunities

Posted by Susannah Hammond on Feb 8, 2022 5:00:00 AM

Digital transformation has been a fundamental enabler for financial services firms. It is hard to underestimate the opportunities and regulatory benefits firms can derive from the implementation of technological solutions but maximising their potential can present challenges. Thomson Reuters Regulatory Intelligence's sixth annual survey and report on fintech, regtech and the role of compliance explores these challenges, particularly in the context of corporate governance and risk management.

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Topics: compliance, regtech, supervision, monitoring, return to work, regulations, communications

Examining Recent Collaboration and Chat E-comms Compliance Guidance from ESMA, FCA, FINRA, SEC

Posted by Marc Gilman on Oct 19, 2021 10:20:23 AM

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.

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Topics: compliance, chat compliance, surveillance, monitoring, regulations, electronic communications

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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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