Blog
Checklist: 10 steps to help you meet September’s NFM-rule deadline
With the FCA’s September 2026 NFM deadline looming, we’ve created a 10-step checklist to help FSMA-authorized firms prepare – covering policy, HR, surveillance, training, and regulatory notification requirements
Weak links in the chain: A compliance guide to third-party risk
Learn how to spot third-party risk red flags early, from unestablished vendors to multi-vendor security gaps, and stay ahead of FCA, DORA, and SEC rules.
“Built for another era” – Are current regulations amplifying AI risk?
With the U.S. Treasury’s recent AI innovation roundtables highlighting that regulatory frameworks “built for another era” may be increasing compliance risks by making firms reluctant to innovate, how can regulators work with the industry to support the deployment of advancing technologies?
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
Rules & Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.
Glossary
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
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
Voice channels – the risk you’re missing?
Voice channels are more than just a route to settling trade negotiations, they are a key site of potential misconduct, which is why firms must look to integrate technology to capture these channels so no risk goes unchecked.
Regulatory Wrap episode 83: ESA’s first DORA report stresses third-party risk oversight
In Regulatory Wrap for the week to June 26, Kathryn Fallah discusses the top operational resilience takeaways from the ESA’s DORA report on ICT-related incidents.