Broker Dealers

BROKER-DEALERS

Setting the standard in Broker-Dealer compliance.

Global Relay’s gold standard compliance solutions give Broker-Dealers the confidence that their processes meet the scrutiny of the SEC and FINRA. Now you can focus on managing your business.

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.

Progressive, value added services built in. Always.

AI-enablement

Beyond preservation. Gain actionable insights for more agile decision-making, with our proprietary AI.

Connectors

Our powerful connectors allow you to add multiple data sources as and when you need. Fully customizable. Fully compliant.

Data migration

Unify your data, while harnessing the benefits of our secure, private cloud, with legacy migration – delivered by our expert team.

Professional services

Our suite of value-added services includes access to our in-house experts across legal, compliance, and training.

Support 24 hours a day, all year round.

“Superior customer service is a must nowadays and Global Relay ranks among the best.”
VP, Compliance Officer

Finance Industry, Gartner Peer Insights 2019

24/7/365 Support

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.