Communications Compliance

In today's fast-paced digital landscape, financial services organisations face the dual challenge of maintaining regulatory compliance while ensuring efficient communication. The integration of Theta...

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

As technology continues to evolve over the long-term, one particular trend we can expect to remain is that of the role of voice – especially within the field of communications compliance. As we look towards the future, how can this technology bring change to the financial industry?

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

At a recent RegTech event in NewYork, topics ranged from AI and blockchain to cybersecurity and IoT, but the standout issue was voice compliance, which consistently emerged across various discussions.

Theta Lake, an esteemed leader in Digital Communications Governance (DCG) and a heralded provider of Unified Communication Compliance solutions, has recently expanded its offerings.

Theta Lake, a pioneer in Digital Communications Governance (DCG) & Compliance, has announced a host of new product innovations which are designed to address...

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again made headlines by imposing fines on another 16 firms.

Artificial Intelligence (AI) has been the focal point in discussions around innovation for many years, to the point where it is easy to be complacent when listening to how it will transform a sector. However, firms cannot afford to skip out on the latest advancements within AI as its rapid innovation is transforming the way we operate.

A recent study from Theta Lake, a pioneer in digital communications governance, found that 69% of IT and compliance professionals expect the use of unified communication and collaboration (UCC) tools to increase in 2024. With firms using an average of 4.6 communication and collaboration tools, it is evident that UCC tools have become an embedded and essential part of modern business, but firms must ensure they are compliantly getting the full value of these tools.