As third-party vendors slowly become the backbone of the operation of financial services, there’s increasing focus on the operational resilience of those third parties. We set out 5 considerations that should be top of mind.
American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
FINRA has published its annual Examination and Risk report. We take a look at the five key provisions of FINRA’s Report for end-to-end communications and data – from restricted channels to regulatory reporting.
Global Relay’s Senior Writer for Due Diligence, Vince Mendoza, talks about the intricacies and importance of green data centers.
Last year, the U.S. DOJ introduced a new CCO Certification Requirement, placing even greater liability at the feet of senior compliance officers. Does the new rule empower, or just add more weight to CCO shoulders?
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
On January 1, 2023, Canada welcomes a new Canadian self-regulatory organization and a new Canadian Investor Protection Fund. We take a look at the details.
There's hidden gold in all enforcements. We take a look at regulatory lessons in light of a £48m fine for operational resilience failures.
Global Relay’s Senior Writer for Due Diligence, Vince Mendoza, reflects on the importance of location when storing electronic communications data.