Theta Lake Communication Compliance Suite from Theta Lake

Automates the review of digital communications for regulatory, conduct, and suitability risks. Uses AI to detect problematic language and risky behavior across chat, collaboration, and video platforms. Provides workflow automation and audit reporting.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(8 Yes /8 Known /10 Possible features)

Client Communication Supervision
(10 Yes /10 Known /10 Possible features)

Trade and Transaction Supervision
(5 Yes /5 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(0 Yes /0 Known /10 Possible features)

Policy Management
(2 Yes /2 Known /10 Possible features)

Surveillance & Alerting
(8 Yes /8 Known /10 Possible features)

Case Management & Investigation Tools
(6 Yes /6 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls
(9 Yes /9 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Product offers real-time compliance monitoring of communications across platforms, which implies real-time activity tracking.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Product includes audit reporting for digital communications, including logs and retrospective analysis.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Automated AI-based review and detection of potential compliance breaches is core functionality.
Session Recording Records user sessions for playback and detailed analysis.		Specifically calls out video and meeting platform support with searchable, replayable records for compliance.
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		Platform allows customization of detection policies/rules for language and behavior according to compliance frameworks.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Notes reference use of AI to identify risky behavior and language, which constitutes behavioral analytics.
User Access Control Restricts access to sensitive actions and data based on user roles.		Workflow automation and permissions discussed; user roles restrict access to compliance actions and data.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		Described as integrating with chat, collaboration, and video platforms (e.g., Microsoft Teams, Zoom, Slack).

Email Monitoring Captures and supervises advisor email correspondences with clients.		Product highlights capture and supervision of advisor email correspondence.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		Explicitly mentions chat, collaboration, and instant messaging platforms such as Slack, Teams, Zoom chat.
Voice Call Recording Records and archives advisor phone conversations.		Voice/video call compliance and replay features highlighted for Zoom, Teams, and others.
Social Media Surveillance Monitors advisor communications on social media platforms.		Product provides surveillance of communications, including those on regulated social media platforms.
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		AI engine identifies risky keywords, language, and lexicon for compliance review.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated review for policy breaches is a central capability described.
Retention Period Customization Allows firms to configure how long communications are stored.		undefined Retention management for communications mentioned in compliance use cases—customizable per policy.
Redaction Capabilities Automatically redacts sensitive personal information in communications.		Redaction of sensitive information is a compliance and privacy capability mentioned.
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		Describes maintaining communications context, including full conversation threads, for review.
Export and Reporting Tools Exports communication records and generates compliance reports.		Audit reporting and export tools included as part of compliance evidence and workflow.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		No information available
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		AI-based risk pattern recognition in communications is stated, which implies pattern detection capabilities.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		No information available
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		No information available
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Product describes automated and configurable alert notification for compliance violations.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Customization of alert/review thresholds for supervisors mentioned in product capabilities.
Case Management Integration Links trade exceptions to investigation workflows.		Workflow automation covers connecting alerts or flagged communications to remediation/investigation workflows.
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		undefined Audit and compliance reporting implies long-term storage of data/communications for regulatory needs.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		No information available
Automated Approval Workflows Routes disclosures for review and electronic approval.		No information available
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		No information available
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		No information available
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		No information available
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		No information available
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		No information available
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		No information available
Policy Version Control Tracks and archives all historical versions of each policy document.		No information available
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		No information available
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		No information available
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		Product offers quiz/certification modules for advisor training and compliance verification.
Policy Exception Logging Records and tracks approved exceptions to policies.		No information available
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		No information available
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Templates and customization of detection policies/procedures are described—supports firm-specific rules.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Product enables custom alert rules and thresholds for monitoring different risk/compliance events.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		Notes mention use of AI/ML for anomaly and risky language/behavior detection.
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		Alert prioritization by risk/severity is described for supervisory review and workflow.
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		Automated escalation of alerts and workflow is described for high-severity incidents.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Supports delivery of alerts via multiple channels (email, dashboard, etc.)
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Product supports audit logging for all compliance alerts, reviews, and actions.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		Alert suppression and tuning described for reducing noise and focusing on meaningful incidents.
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		Supervisor and compliance dashboards available for risk/exposure status and review.

Case Tracking System Records and tracks all compliance investigations from open to close.		Case and workflow tracking from flagging to investigation and resolution mentioned.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Case records, evidence, and commentary upload supported for regulatory documentation.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		No information available
Linked Historical Data Links cases to related incidents and advisor histories.		Historical data and related incident context are maintained for investigations.
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		System applies encryption and granular access controls to case and communication data.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Access and workflow management based on roles described as product capability.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Final decisions, resolutions, and audit trails are documented in the system.
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		Management dashboards for compliance and risk are provided as standard.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Scheduled, automated report delivery is a supported feature.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		Ad hoc and on-demand compliance report generation available.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Product includes regulatory report templates for compliance with various standards.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export tools (Excel, CSV, PDF) provided for external reporting.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics capability described (from report summary to detailed records).
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend and anomaly analysis for compliance data noted as supported feature.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Visualization tools (charts, dashboards, and analytical views) are highlighted by the product.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		Report access and permissions managed by user roles.

Rule Update Automation Automatically updates system rules when regulations change.		No information available
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Compliance workflows and rules are configurable by country, firm, or regulatory framework.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		No information available
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		No information available
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		System logs all changes to compliance rules; audit/reporting described for regulatory needs.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		Product sends notifications to users/advisors when policy/rule changes impacting compliance are made.
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		Support for multilingual policies and communications is mentioned to ensure compliance globally.
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		The system helps estimate regulatory change impacts with built-in tools for compliance officers.
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		Multi-factor authentication is a standard security feature mentioned on the platform.
End-to-End Encryption Encrypts data both in transit and at rest.		Data encryption in transit and at rest is indicated in privacy/security documentation.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access controls configure user access to data and features in the system.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails, including all user and admin actions, are maintained.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention features are described (controls for extraction, export, etc.).
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Privacy policy alignment for GDPR, CCPA compliance stated by the vendor.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		Vendor describes integration with incident response and escalation for compliance security breaches.
Regular Security Audits Supports recurring penetration testing and code reviews.		Regular, independent security audits and certifications referenced in product claims.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		User activity and admin action monitoring for security is explicitly listed.

Theta Lake Communication Compliance Suite from Theta Lake

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (8 Yes /8 Known /10 Possible features)

Client Communication Supervision (10 Yes /10 Known /10 Possible features)

Trade and Transaction Supervision (5 Yes /5 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (0 Yes /0 Known /10 Possible features)

Policy Management (2 Yes /2 Known /10 Possible features)

Surveillance & Alerting (8 Yes /8 Known /10 Possible features)

Case Management & Investigation Tools (6 Yes /6 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls (9 Yes /9 Known /10 Possible features)