Why communications monitoring is currently a ‘wild west’
The current communication monitoring landscape is a ‘wild west’, and firms need to ensure their processes are nimble so they can adapt to new and evolving communication channels.
Adapting to the cloud: How UC platforms are transforming workplace collaboration
Organizations are increasingly leveraging cloud-based unified communications (UC) platforms, ushering in a new era of collaboration.
Gartner’s Digital Communications Governance market guide: What you need to know
Gartner's recent foray into Digital Communications Governance (DCG) marks a pivotal moment in the tech landscape.
Enhancing Zoom with Theta Lake: A leap in compliance and security
Theta Lake's collaboration with Zoom, which started in 2018, has been pivotal in elevating compliance and security standards for Zoom’s unified communications (UC) platform.
SEC’s 2024 exam priorities: Spotlight on compliance and recordkeeping practices
The SEC exam priorities for 2024 underscore the importance of compliance and recordkeeping within financial services. The focus will be on practices and products that pose risks to investors or the markets. In light of over $2.6bn in fines due to recordkeeping failures, the SEC will scrutinize unmonitored communication channels and the capture of essential records.
Unveiling insights from financial leaders: The state of communications compliance in 2023
As penalties continue to rise for record-keeping failures, a new report from Theta Lake found that almost 98% of financials services leaders it surveyed were dissatisfied with their current archives and voice recording tools.
The next wave in digital innovation: How forms automation is shaping customer experience
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.
Recordkeeping enforcement reaches brokers, advisors and credit rating agencies
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 unveils CC1 Messaging to revolutionise regulatory compliance
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...
The importance of eComms recordkeeping in FinTech
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.