The volume of call recordings from MiFID II requiring capture, retention, and supervision is growing. Organisations also need to better assess Dodd-Frank risks per CFTC requirements as well as ensure that state insurance suitability requirements are met. In addition, privacy rules like GDPR coupled with personal accountability regimes mean all those recordings need review, supervision, and audit. Enterprises are struggling to manage supervision as they don’t have the toolset to efficiently, effectively, and affordably performing compliance review and audit on large volumes of call recordings.

Theta Lake provides integrated AI-based compliance and archiving for Red Box voice recordings with automated detection of regulatory, corporate compliance, and conduct risks. Theta Lake enables Red Box customers to improve the accuracy and efficiency of call recording supervision by,

  • Supervision at Scale - AI-based technology reviews 100% of voice recordings along with driving workflow insights and automation to increase supervision efficiency
  • Reduced Organization Risk - Machine learning powered policies drive detection of regulatory, corporate compliance, and conduct risks, enabling human resources to focus on high-risk content
  • Audit Reporting - Detailed reports of audio recordings, identified risks, and workflow actions on the recording, giving auditors a clear understanding of supervision processes

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