Oracle Cloud breach: Lessons on public cloud risk
Oracle Cloud appears to have fallen victim to a breach by threat actors for the second time in two months. Despite their size, large Cloud providers may not be the safest option for firms.
Investment Advisers Act
The Investment Advisers Act is a longstanding rule for all registered financial advisers in the U.S. But even 84 years later – in 2024 – the Securities and Exchange Commission (SEC) brought settlements against two registered advisers for failing to establish, maintain, and enforce written procedures under the Investment Advisers Act.
Investment Company Act
The Investment Company Act is one of the longest standing financial regulations in the United States, and despite its tenure, is not a regulation that the Securities and Exchange Commission (SEC) has forgotten.
EU Taxonomy Regulation
Internal audit vs External Audit
The audit: a humble regulatory process with enough bite to send shivers down the spine of any accounts and finance worker. Isn’t it time that your employees felt better about them?
Commonwealth Financial Network chooses Global Relay for integrated, scalable compliance
Find out why Commonwealth Financial Network chose Global Relay's trusted, scalable compliance solution.
Buying a compliance solution? 4 things to consider before you commit
Choosing a compliance technology vendor can be complex. Global Relay has highlighted four key considerations to bear in mind before you sign.
Stored Communications Act
Where is the line? That’s what enforcement agencies and the US government have to consider each time they make a request to access an individual's private electronic communication when building evidence in a case.
Financial promotions on social media
In March 2024, the Financial Conduct Authority updated their rules around financial promotions in social media in accordance with the new Consumer Duty requirements. This update clarified how regulated financial institutions needed to manage all authorized promotions across social media, and set up controls for any of the ‘finfluencers’ they work with.
Fairness Opinions
How do you know when you’re receiving good value? In the supermarket, you might be comparing prices per 100g or unit. But in the world of mergers and acquisitions, with many uncertain variables in play, it’s sometimes harder to determine.
What is Regulatory Compliance?
Regulatory compliance is the process of following set procedures in order to meet standards set by boards of oversight. Most often, these regulatory policies are set to reduce the risk of negative events occurring, such as physical accidents or unauthorized access to information or money.