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.
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.
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.
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.
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.
The Compliance Hub
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Skepticism around LLMs is common within the financial services industry, however, much of this is based on outdated or inaccurate assumptions.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.
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.