Join Theta Lake at RegTech Summit New York 2025
Thursday, November 20, 2025
📍 Ease, 7th Floor, 605 Third Avenue, New York
Modern communication and AI tools like Zoom, Microsoft Teams, Webex, RingCentral, Copilot and Zoom AI Companion have transformed how financial services firms operate—but they also create new challenges for compliance, legal, and risk management teams.
Theta Lake’s multi-award-winning, cloud-native platform empowers firms to identify regulatory risk and provide oversight across modern communications with intelligent recordkeeping, accurate supervision, ML/NLP-driven risk detection, and deep integrations with the tools your business relies on.
Theta Lake was ranked furthest in Vision in the 2025 Gartner® Magic Quadrant™ for Digital Communications Governance and Archiving (DCGA) Solutions. We are recognized for our ability to execute and completeness of vision.
Built specifically for the needs of the financial services industry to understand behavior and intent, our platform helps you meet FINRA, SEC, CFTC, and global regulatory obligations—while improving efficiency and collaboration across compliance, IT, and legal teams.
Marc Gilman brings a unique perspective on Digital Communications Governance and Archiving. As General Counsel and VP of Compliance at Theta Lake, Marc provides strategic guidance on regulatory issues, manages commercial engagement and the intellectual property portfolio, and advises on product innovation. He also serves as an adjunct professor at Fordham University School of Law, where he teaches on compliance, technology, and financial services.
With previous legal and compliance roles at Morgan Stanley and experience as a litigation associate at Schiff Hardin LLP, Marc speaks regularly at industry events on topics like the use of AI for compliance oversight, cybersecurity, cloud telephony and voice recording risk management, and regulatory trends. Don’t miss the opportunity to connect with him in person at the conference.
Matthew Carey is a product leader at Theta Lake, specializing in voice surveillance and compliance controls. With over two decades of experience in Capital Markets and Investment Banking technology at TD Bank and Mizuho Capital Markets, he has led global infrastructure initiatives focused on Unified Communications, Compliance, and Trading Floor Voice solutions. His work has centered on enabling secure, compliant, and high-performance communication environments that empower users and strengthen operational resilience across leading financial institutions.
🕙 9:35 AM | Navigating the frontier of agentic AI in RegTech
Learn how Theta Lake’s modern technology helps identify compliance risks with built-in reconciliation and data health checks, ensuring you avoid costly recordkeeping fines and penalties.
Explore how financial firms can improve compliance outcomes, reduce resource drains, and evidence risk reduction with more complete investigations, more effective detections, and more efficient reviews.
Have a discussion with our experts and discover how our technology seamlessly integrates with your existing compliance and communication tools to optimize your workflows.
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