In this eye-opening interview, Rob Scott of UC Today is joined by Stacey English, Director of Regulatory Intelligence at Theta Lake, to explore what’s becoming one of the biggest emerging risks in financial services: AI governance failure.
Theta Lake’s recent research, based on insights from 500 financial institutions, shows a concerning paradox: while AI promises massive productivity gains, most firms are flying blind when it comes to monitoring AI-generated communications, making them vulnerable to compliance breaches, data leakage, and regulatory scrutiny.
Stacey brings her former-regulator perspective to discuss what firms are getting wrong, how “AI comms” are redefining risk, and why unmonitored employee-AI interactions are a ticking time bomb.
Key Takeaways from the Conversation:
- The rise of “AI comms”: New categories of interaction demand new compliance strategies.
- The visibility crisis: 67% of firms admit their staff are likely using unmonitored channels.
- Tech fragmentation: The average firm uses 3+ vendors—creating data silos and record-keeping chaos.
- What real AI governance looks like: From ISO 42001 certification to unified oversight across modalities.
Whether you’re a CIO, compliance officer, or simply navigating AI adoption in a regulated space, this discussion highlights how to move beyond foundational guardrails to true governance.
Next Steps:
Ready to take control of your AI communications? Visit thetalake.com for guidance on your compliance journey
