Global Relay Resource Hub

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

Blog

The Conduct Chronicles – SEC Renegotiation? Not a chance!

Regulators are reviewing and revising regulations by creating a less intense process for financial services looking to comply with the rules, and while the SEC has refused revisiting past settlements, FINRA seems to be on the case.

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FDA takes aim at pharmaceuticals’ social media activity

The FDA is turning its eye towards pharmaceuticals’ social media use. Review the laws and regulations triggering FDA warning letters and how to stay compliant.

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FCA Survey finds 178 WhatsApp policy breaches, with over 41% from senior staff

A survey of 11 wholesale banks found that 178 breaches of communications compliance policies were reported, despite firms introducing compliance recording and monitoring solutions, and the majority came from senior employees.

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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.

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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.

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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

Debunking the latest LLM myths

Skepticism around LLMs is common within the financial services industry, however, much of this is based on outdated or inaccurate assumptions. Global Relay's SME sits down to unpack what modern LLMs can actually deliver.

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Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss

In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.

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