Global Relay Resource Hub

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

Blog

DOJ reforms self-disclosure approach with new corporate enforcement plan

The DOJ has altered its corporate enforcement policy to simplify investigations and amplify the benefits firms can receive by self-reporting, fully cooperating, and effectively remediating misconduct.

Blog

Is FINRA focusing on fairness by reducing HSP compliance burdens?

The SEC's January 2025 settlements for off-channel comms violations introduced lighter compliance terms, creating a divergence between earlier enforcement actions that imposed stricter membership oversight requirements on FINRA firms. After the SEC's rejection of a petition to review the pre-2025 settlements, FINRA is now looking to level the field by easing collateral consequences.

Blog

Surveillance Snippets: Surveil now to save later – why should firms invest anyway?

By establishing a well-nourished surveillance system early on, firms can reap invaluable benefits later, such as avoiding steep regulatory fines and boosting operational efficiencies.

Blog

Insights

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.

Blog

Head to the cloud – 6 simple steps for migrating healthcare data to the cloud

Migrating healthcare data to the cloud comes with multiple benefits for businesses, from cost reduction to increased data availability. Streamline your data migration with these six simple steps.

Blog

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

DOJ reforms self-disclosure approach with new corporate enforcement plan

The DOJ has altered its corporate enforcement policy to simplify investigations and amplify the benefits firms can receive by self-reporting, fully cooperating, and effectively remediating misconduct.

Blog

Is FINRA focusing on fairness by reducing HSP compliance burdens?

The SEC's January 2025 settlements for off-channel comms violations introduced lighter compliance terms, creating a divergence between earlier enforcement actions that imposed stricter membership oversight requirements on FINRA firms. After the SEC's rejection of a petition to review the pre-2025 settlements, FINRA is now looking to level the field by easing collateral consequences.

Blog
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