.png?width=318&height=392&name=XLoD%20Global%20NY%202025%20(Approved).png)
Modern communication tools like Zoom, Microsoft Teams, Webex, and RingCentral 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.
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.
.png)
Meet with us at XLoD to see how we help firms:
✅ Identify and mitigate communication risks across voice, video, chat, and email
✅ Streamline supervision and eComms, aComms, and vComms review workflows
✅ Prepare for regulatory inquiries with full context, search and explainability
✅ Stay compliant with our patented, AI technology that scales as you grow
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.
🕙 Keynote Address | 10:40 - 10:50 AM
Navigating Regulatory Compliance & Market Abuse
Marc Gilman, General Counsel & VP of Compliance
🕛 Case Study | 12:20 – 12:35 PM
AI Alone Won’t Fix Your Surveillance Inefficiencies and Detection Gaps
Garth Landers, Director of Global Product Marketing
🕝 Roundtable | 3:45 – 4:25 PM
Innovating and Ensuring Effective Communications Compliance
Marc Gilman, General Counsel & VP of Compliance
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.
Subscribe to receive monthly updates from Theta Lake.