Chip Jones

End of Transition Period for the New SEC Marketing Rule

As of November 4, 2022, SEC-registered firms must comply with all provisions of the new Marketing Rule. Read more on the substantive changes ahead.

Reflections from FINRA: Compliance Transforms for a Digital-First Future

Global Relay Executive VP of Compliance Chip Jones on digital permanence, remote compliance, and the new realities of electronic record keeping.

The Business Risk of Encrypted Chat Apps

Organizations have adapted to remote work with Bring Your Own Device policies for business communication.

SEC Wall Street Inquiry a Forewarning to Financial Firms on Employee Supervision

Chip Jones shares how workers sending texts and email on personal devices in a remote working environment are amplifying the compliance risks and challenges.

How Financial Firms Can Maximize Social Media Use While Minimizing Risks

Five best practices for ensuring compliance across your organization when it comes to recordkeeping and supervision requirements for more social media.