Global Relay Resource Hub

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

Blog

$118 million in SEC and CFTC fines continues off-channel comms crackdown

The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.

Blog

Social Media: To Ban or Not to Ban?

Surveillance and compliance experts Hammad Hanif, Lloyds Banking Group, and Darren Sirr, BNY Mellon Markets, shared their insight as part of our recent social media webinar, chaired by Rob Mason, Global Relay Director of Regulatory Intelligence.

Blog

Watch out for WhatsApp: Does the FCA plan to follow in the footsteps of U.S. regulators?

There has been no shortage of fines for recordkeeping failures in the U.S., particularly from regulators like the SEC and CFTC – though movement from the U.K.’s primary financial regulator seems to point toward a future concentration on the topic.

Blog

Insights

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

Managing the compliance risks of ephemeral messaging to meet DOJ guidance in healthcare and pharmaceuticals

Healthcare organizations and the pharmaceutical industry must look to implement solutions to ephemeral messaging in their compliance strategies.

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

$118 million in SEC and CFTC fines continues off-channel comms crackdown

The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.

Blog

Regulatory Wrap Episode 42: The FCA’s WhatsApp Crackdown

In Regulatory Wrap for the week to September 27, Jay Hampshire considers the FCA’s future objectives after recent action concerning off-channel communications.

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