Watch again On September 14, 2023, Global Relay’s compliance champions – Alex ‘Vigilante’ Viall, and Rob ‘The Enforcer’ Mason – entered the ring to wrestle with the emerging focus on compliant culture. Watch below to see two industry titans go head-to-head in three knockout rounds: If you’re looking for a solution that enables you to… Continue reading On Demand: Regulatory Wrestling – The Compliant Culture Smackdown
Author: Jennie Clarke
Four ways compliance technology mitigates the Fed’s threats to financial system resilience
The U.S. Federal Reserve Board (the Board) has published its annual Cybersecurity and Financial System Resilience Report for 2023. As well as setting out measures that the Board has implemented to strengthen cybersecurity within financial services, the Report outlines the Fed’s critical concerns for current and emerging threats to financial system resilience. “Interconnectedness” appears to… Continue reading Four ways compliance technology mitigates the Fed’s threats to financial system resilience
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
Listen in to learn: In our five-part podcast series in partnership with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape. Episode 3: Regulatory Changes on the Horizon for UK Firms Global Relay’s compliance experts recently sat down with Tom Fox from the Compliance Podcast Network to explore the evolving U.S.… Continue reading Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
$40,000 fine for individual who used personal phone for business
In brief: The cost of doing (non-compliant) business is growing increasingly personal this week, with FINRA issuing a sizable fine to an individual who conducted business activity on a prohibited, personal device. In the second action of its kind in as many months, the Financial Industry Regulatory Authority (FINRA) has issued a General Securities Representative… Continue reading $40,000 fine for individual who used personal phone for business
2023 Global Relay Gastown Grand Prix riders to watch
Vancouver, BC – The 50th anniversary of the storied Global Relay Gastown Grand Prix arrives on Wednesday, July 12 and with more than $50,000 in combined prize money and primes on the line and some of the top Canadian cyclists and professional American teams registered to participate, the racing will be fast-paced and exciting from… Continue reading 2023 Global Relay Gastown Grand Prix riders to watch
Trouble at the top? SEC charges senior execs with insider trading
In brief: What do a Board member, a Police Chief, and a Chief Compliance Officer have in common? Perhaps you’d answer that they are senior individuals within organizations. Perhaps you’d suggest they are all individuals employed to instil trust and stability, both internally and externally? Perhaps you’d suggest that they are key decision makers in… Continue reading Trouble at the top? SEC charges senior execs with insider trading
The Cardinal Sins of Compliance
On June 8, 2023, we welcomed leading compliance professionals to our London offices for our Compliance & Conversation event. The event included an engaging and entertaining presentation on ‘The Evolving Landscape of Conduct Risk’ from Carroll Barry-Walsh, Founder of Barry-Walsh Associates. A theme throughout Barry-Walsh’s session was the idea of ‘sin’, and how organizations can… Continue reading The Cardinal Sins of Compliance
Marketing Compliance – One Rule to Rule Them All
In brief: At the tail-end of 2022, the Securities and Exchange Commission (SEC) brought into force long-awaited (60 years awaited, to be precise) amendments to Advisers Act Rule 206(4)-1. These amendments brought into effect wide-ranging changes to the way in which financial institutions can market and advertise their services and products. The amendments consolidated various… Continue reading Marketing Compliance – One Rule to Rule Them All
Global Relay Gastown Grand Prix Prepares for 50th Anniversary and Unveils New Course
VANCOUVER, British Columbia – The Global Relay Gastown Grand Prix, one of the most prestigious criterium cycling races in North America, is less than a month away and as part of its 50th anniversary, is thrilled to unveil an exhilarating new course for its upcoming edition on July 12, 2023. The Global Relay Gastown Grand… Continue reading Global Relay Gastown Grand Prix Prepares for 50th Anniversary and Unveils New Course
SEC drops 42 cases after record control failures
In brief: In 2022, the Securities and Exchange Commission (SEC) issued more than $2 billion in regulatory fines related to recordkeeping failures. The regulator will likely be adopting a ‘do as I say, not as I do’ approach, however, after it transpired that it will dismiss 42 cases after it failed to adequately manage records… Continue reading SEC drops 42 cases after record control failures