Blog
The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule
The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.
Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines
The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.
On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
Insights
Industry Insights Report: Compliant Communications 2023
Global Relay's first industry insights report, which serves as a litmus test for market responsiveness to regulatory action for recordkeeping and communications compliance.
Webinar: Silicon Valley Bank crash and the consolidation of Swiss banking
On March 30, 2023 – in the midst of turbulent market events – regulatory luminaries Alex Viall and Rob Mason sat down to unpick the financial landscape.
The Compliance Hub
Broker Dealer Collection
Regulatory Wrap Episode 28: Analyzing FCA’s Controversial Enforcement Approach
In Regulatory Wrap for the week to April 26, Jennie Clarke reviews the FCA’s proposed enforcement approach to identify firms under investigation from the outset.
On Demand: Capture if You Can
Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.