Communications Crackdown: How to Comply With Supervision and Archiving Obligations

Workers increasingly use consumer and workplace collaboration, chat, and mobile messaging platforms like SMS and WhatsApp to communicate with colleagues and clients, especially in hybrid work environments. But with recent fines expected to reach $2 billion it’s clear that hefty regulatory enforcement will result from non-compliant use of these communications platforms by staff at financial services institutions.

In this interview with SmartBrief, Marc Gilman, Theta Lake general counsel and vice president of compliance, explains how firms can protect themselves without unduly inhibiting employees from communicating effectively for work purposes.

Download this paper to hear Gilman’s expert perspective on:

  • The compliance challenges that financial services institutions are facing in the new hybrid workplace
  • How the financial services industry can avoid being hit with costly regulatory fines
  • How Theta Lake is helping customers using platforms such as mobile messaging and WhatsApp
  • How financial services institutions can manage the growing volumes of communications across modern tools such as Microsoft Teams, Zoom, Webex by Cisco, WhatsApp, and SMS

Download Now

                 Popular Theta Lake Use Cases

Learn how to enhance compliance without disrupting your infrastructure