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What is Theta Lake?

In today's digital landscape, securing and maintaining compliance within collaborative platforms is vital for businesses that seek to reduce risks associated with data leakage, security breaches, and proper usage throughout their interactions. This strategy allows organizations to maintain control over the information that is shared, discussed, and recorded during collaborative efforts. With the advent of user-friendly, cloud-based solutions, enterprises can ensure safe collaboration across remote teams and geographically dispersed employees. Additionally, aligning video conferencing and collaboration methods with established security, risk, and compliance frameworks enables organizations to take full advantage of contemporary communication technologies with peace of mind. Theta Lake presents a tailored compliance suite that focuses on the automatic detection of regulatory risks, efficient compliance workflows, and effective archiving solutions for video marketing, conferencing, and audio recordings. As the popularity of video marketing and conferencing grows, it parallels an increase in regulatory demands such as MiFID II, FCA, GDPR, FINRA, and FFIEC, underscoring the importance of implementing strong compliance strategies. Thus, businesses can confidently adopt these advanced communication tools while ensuring they remain compliant with all relevant regulations, fostering an environment of trust and productivity. Ultimately, the integration of security and compliance measures is not just beneficial but essential for thriving in a modern collaborative atmosphere.

What is Smartria?

Smartria is a purpose-built RIA compliance software platform for managing and automating SEC and FINRA compliance programs. The platform is designed for registered investment advisors and can be customized around the compliance requirements, policies, workflows, and organizational structure of individual firms. Its compliance management capabilities centralize tasks, forms, regulatory deadlines, alerts, reminders, filings, records, and other recurring compliance activities. Automated workflows allow firms to reduce manual work associated with processes such as new employee onboarding, regulatory filings, employee oversight, and ongoing compliance administration. Marketing review tools manage the submission, review, approval, and rejection of marketing materials while automatically maintaining records of those decisions. Employee attestation capabilities document employee acknowledgments related to codes of ethics, outside business activities, personal holdings, political activities, insider relationships, and other compliance requirements. Smartria also provides trade monitoring with customizable trade rules, pre-clearance workflows, front-running alerts, and support for Know Your Client and Know Your Employee requirements. Vendor management functionality helps compliance teams maintain vendor information and monitor security certifications, vendor attestations, and reported incidents. Access and activity logging combined with reporting tools provide records of employee participation and compliance activity that can help firms prepare for regulatory audits. Smartria supports boutique RIAs, growing advisory firms, and enterprise organizations, with enterprise capabilities including branch management and SOC 2-aligned security infrastructure. Compliance consulting firms can use multi-client access, content publishing, and in-app communications to manage compliance programs for multiple RIA clients from the platform.

Media

Media

Integrations Supported

AT&T Office@Hand
Avaya Cloud Office
Dialpad Connect
Facebook
Kaltura
Microsoft 365
Microsoft OneDrive
Microsoft Teams
Red Box
RingCentral RingEX
RingCentral Video
Slack
Symphony
Videolicious
Vimeo
Wistia
YouTube
Zoom
Zoom Chat

Integrations Supported

API Availability

API Availability

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support

Customer Service / Support

Standard Support

Training Options

Documentation Hub
Online Training

Training Options

Documentation Hub
Online Training

Company Facts

Organization Name

Theta Lake

Date Founded

2017

Company Location

United States

Company Website

thetalake.com

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
ISO Compliance
Risk Management

RegTech

Not specified

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

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