Blog

Recordkeeping failures dominate SEC enforcement results in 2022

The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.

FINRA sweeps communications for crypto assets

In the face of increased volatility in the crypto asset market, FINRA has asked broker dealers to disclose their communications data for crypto.

Q&A: How training and customer support enables confident compliance

As regulators push towards operational resilience and increased transparency, we take a look at the important role of training and customer support within Global Relay.

5 steps towards successful operational resilience

Over the last three years, volatile market events have brought operational resilience to the top of the regulatory agenda. We set out five steps towards operational excellence.

SEC will reward cooperation where firms “mess up” with unauthorized communication

SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?

Raise Your Archiving IQ: Why You Must Future-Proof Your Archive

In the fifth and final instalment of this blog series, we explain how a cloud-enabled, unified data strategy is critical to future-proofing your archive

Risk-based Supervision and the Hybrid Workplace

Our recent Summer Forum Series explored how to increase risk resilience around new communication tools, and embed a culture of compliance in a digital-first era.

Regulations In The Metaverse: What Rules Will Apply?

The metaverse has fast moved from the realms of science fiction to a potential driver of trillions in revenue. But, what does an ongoing lack of regulation of this abstract medium mean for regulated organizations and their compliance obligations?

Reflections from FINRA: Compliance Transforms for a Digital-First Future

Global Relay Executive VP of Compliance Chip Jones on digital permanence, remote compliance, and the new realities of electronic record keeping.

Raise Your Archiving IQ: 2 Misconceptions

The fourth installment in our five-part blog series on how to modernize an e-comms archive.

Raise Your Archiving IQ: 3 Blindspots in Assessing Archive Costs

Our third blog in this series highlights the importance of not overlooking three things when assessing cloud archiving costs.