What is the FCA’s final NFM guidance?
The FCA has released its final guidance surrounding non-financial misconduct. Firms must now take accountability and be transparent in cases of bullying, harassment, and intimidation within their businesses.
10 questions we always get asked during security due diligence
Given the increase in cyber security incidents, firms are reassessing strategies and looking to implement more robust and secure solutions. Find out the steps Global Relay takes to ensure your data remains protected.
How is comprehensive risk management a competitive advantage?
With security incidents and data breaches becoming more prevalent – and more disruptive – sound risk-management frameworks can not only minimize threats but give businesses a competitive advantage.
$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
How to choose an operationally resilient technology vendor
System outages are on the rise, leaving firms struggling to ensure operational resilience and reconsidering business continuity plans. We set out the key steps to consider when choosing an operationally resilient tech vendor.
How Global Relay ensures a frictionless implementation
A fumbled implementation can sink months of work and money spent. Learn the warning signs and read how Global Relay’s collaborative Enterprise Success Program guarantees we always stick the landing.
Crypto Decrypted: Strengthening crypto fluency to manage evolving risks
Digital assets offer numerous opportunities for both firms and markets. However, to circumvent risk and meet regulatory expectations, firms must build high standards of crypto fluency amongst compliance teams.
FINTRAC fines five firms over C$350,000 for AML failures
Canada's anti-money laundering (AML) regulator FINTRAC has issued fines totalling over C$350,000 to five firms for multiple breaches of the Proceeds of Crime and Terrorist Financing Act.
How does Global Relay ensure data security?
From private encryption keys to Constant Integrity Checks and ISO certification, learn more about how Global Relay keeps data security locked down to keep your records secure, available, and tamperproof.
Regulatory Wrap episode 75: SEC 2026 Examination Priorities
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
Regulatory Unwrapped: Breaking down the FCA’s NFM framework
Join us for a deeper dive into the biggest regulatory trends and challenges firms are facing as we chat with experts and understand how organizations can keep pace with fast-paced compliance changes.