Our clients know that only the best is ‘good enough’
We do the heavy lifting so that you and your teams don’t have to.
In a dynamic, yet intensely regulated market, Broker-Dealers must adapt to change. But they also must be able to swiftly evidence best practices when called for. For over 20 years, Global Relay has supported Broker-Dealers in achieving both, with the best of solutions that promote meticulous standards.
One platform. A complete approach.
Total recordkeeping, supervision, and audit solutions for Broker-Dealers, subject to the compliance requirements of the SEC, FINRA, and various exchanges.
Automatically capture, and retain, communications data across email, instant messaging, Bloomberg®, Refinitiv, mobile messaging, social media, and more.
- Preserve and index original metadata for each data type.
- Retain data for the required 3-to-6 year term (or as defined by your internal policies.)
- Store tamperproof copies of each archived communication.
- Full-text index and serialize each archived communication.
- Log all actions on each archived communication, in unalterable audit trials.
- Migrate your legacy data with a clean and defensible chain of custody.
- Extend retention terms for legal holds and regulatory investigations.
- Appoint Global Relay as your Third Party Downloader for independent SEC and FINRA mandated access.
Proactively manage oversight obligations, while ensuring transparency and policy understanding, across the organization.
- Automatically flag communications based on flexible rules.
- Conduct advanced analysis with Boolean logic, criteria lists, proximities, and more.
- Randomly sample data
- View highlighted keyword matches for quick review.
- Conduct full review of communications and attachments.
- Approve, reject, or escalate flagged communications, with action icon and notes.
- Build a multi-tiered review structure for escalation, to senior compliance staff.
- Create wizard commands to perform multiple actions with a single click.
- Filter review queues by policy type, status, date, and other criteria, using a Compliance Dashboard and advanced search controls.
- Enforce granular access rights
- Document activity in unalterable audit trials.
- Create and modify supervision policies and workflows.
- Monitor activity with detailed ad hoc and scheduled reports.
Respond to regulators with speed and certainty, to portray the right image for your team.
- Search for and retrieve any archived communication in seconds.
- Produce data online for regulators, external legal counsel, and other third parties.
- View statistics and reporting on compliance reviews and related actions taken.
- Extend retention terms for legal holds and anticipated investigations.
- Leverage our in-house legal, audit, and eDiscovery teams to assist with audits, subpoenas, and other investigations.
- Use case management tools to identify, organize, and review data.
Follow-the-sun support for true global customer service.
Phone, email, and message
You’ll never get a voicemail.
5 Star Reviews
Top marks in peer reviews for our unrivalled customer service.