Global Relay Resource Hub

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

Blog

What is SEC Rule 18a-6? Ensure you are ready for implementation

Last year, SEC Rule 18a-6 was amended alongside Rule 17a-4, marking the first time SBSDs and MSBSPs became subject to regulatory requirements around electronic recordkeeping. As the compliance date for this rule approaches, what steps do swap-dealers and participants need to take to ensure regulatory compliance?

Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow

Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.

CFTC Commissioner urges regulatory reforms to keep pace with technology

CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.

Insights

CMA issues provisional findings of anti-competitive behavior in online chats

The U.K.’s Competition and Markets Authority has published provisional findings that 5 major banks engaged in anti-competitive behavior through business communications. Global Relay’s Director of Regulatory Intelligence, Rob Mason, unpicks the findings.

Webinar: Silicon Valley Bank crash and the consolidation of Swiss banking

On March 30, 2023 – in the midst of turbulent market events – regulatory luminaries Alex Viall and Rob Mason sat down to unpick the financial landscape.

Grip Magazine

GRIP Resources Center
Issue 1

Managing the risks of increasingly-connected platform proliferation

GRIP magazine offers a unique blend of perspectives for corporates and regulated entities on the latest developments that affect technology, risk and compliance.

Broker Dealer Collection

Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow

Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.

CFTC Commissioner urges regulatory reforms to keep pace with technology

CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.