Global Relay Resource Hub

All the latest news, insights, and publications from Global Relay.

Blog

FINRA fines broker $10,000 for off-channel communications breaches

An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.

Article

CPPA issues record $1.35 million fine for data privacy failures

The California Privacy Protection Agency has issued the largest fine in its history, levied against Tractor Supply Company for multiple violations of the California Consumer Privacy Act.

Article

FCA answers Call of Consumer Duty

The Financial Conduct Authority is updating its Consumer Duty approach to balance consumer protection with reducing compliance burdens on firms. It aims to clarify expectations, support innovation, and ensure fair outcomes.

Article

Insights

Data structure and enrichment is key to unlocking the full potential of AI-powered surveillance

More than two-thirds of compliance teams have or are considering implementing AI tools. Learn how the clear, content-rich format of Unified Parsed Messages boosts the speed and accuracy of AI-powered surveillance.

Article

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.

Article

The Compliance Hub

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Rules & Regulations

Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.

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Glossary

Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.

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Compliance Insights

Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.

Broker Dealer Collection

FINRA fines broker $10,000 for off-channel communications breaches

An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.

Article

CPPA issues record $1.35 million fine for data privacy failures

The California Privacy Protection Agency has issued the largest fine in its history, levied against Tractor Supply Company for multiple violations of the California Consumer Privacy Act.

Article
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