How digital communications foster better experiences
In the realm of healthcare, the concept of patient experience has significantly evolved, particularly in understanding and enhancing the quality of care.
Smart Communications, which...
Unveiling the cost of non-compliance: 16 firms hit with $81m in SEC fines
In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again...
Why AI is vital for surveillance officers
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.
How Theta Lake empowers firms to maximise value from modern communication tools
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.
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.
The future of compliance: Emerging trends and predictions for 2024
2023 was a pivotal year in digital communications governance. In the US, regulatory bodies imposed hundreds of millions in fines, extending their reach from banks to broker-dealers, investment advisers, and credit rating agencies. Similar actions were observed in the UK, with regulatory bodies sanctioning banks and fining firms for non-compliance in trading communications.
Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid work
The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.
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.
PSP growth acceleration: Overcoming compliance hurdles in the FinTech sector
The landscape for Payment Service Providers (PSPs) is rapidly evolving, with a pressing need to scale operations effectively while managing Anti-Money Laundering (AML) compliance...