Communications Compliance

The realm of forms management is currently witnessing a significant turning point. With the increasing demands of customers and employees, companies are constantly striving to maintain technology costs whilst introducing in-house solutions. Smart Communications, a pioneer in customer engagement, has released a new white paper exploring the role of firms in interaction experience management. 

The wave of recordkeeping enforcement actions in the finance sector has now expanded to brokers, investment advisers, and credit rating agencies. Leading this charge...

Custodia, a frontrunner in regulated digital data services, has unveiled its latest product, CC1 Messaging. The rise in regulatory enforcement actions regarding record-keeping violations connected...

In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.

Theta Lake recently took the opportunity to explain to its readers and customers more about digital communications governance and its role in it. 

In an era of growing operational costs, it has become a pressing necessity for banks to embrace efficient Know Your Customer (KYC) practices. The global spend on regulatory technology (RegTech) is predicted to ascend to $207bn by 2028, a forecast that urges banks to channel their investment into automating their manual KYC processes.

A new survey by Shield and LeapXpert underscores the continued risk financial institutions face from unmonitored communication channels. Only 51% of the financial institutions...

Since 2018, Theta Lake, has formed a strong partnership with Zoom, one of the world's leading video conferencing platforms.

In a time where more and more transactions and general interactions are taking place digitally, the importance of ensuring compliance in communications has risen...

VoxSmart, a leader in communications surveillance and financial AI solutions, has raised a further $12m in a recent funding round.