What unified communications & collaboration leaders need to know about compliance
Understand emerging unified communications and collaboration (UC&C) compliance challenges and the regulatory and reputational risks of non-compliance with this data-led report from Metrigy.
SEC plants crypto recordkeeping seeds with Spring 2025 agenda
Securities and Exchange Commission Chairman Paul Atkins has set the regulator on a course toward crypto with its early ‘Spring 2025’ statement, including proposals to bring crypto under the scope of existing recordkeeping regulations.
Proactive cooperation reduces CFTC fines to $8 million
The CFTC’s recent “enforcement sprint” initiative saw 10 firms fined a combined amount of $8.3 million, with most receiving fine reductions for “exemplary cooperation” and remediation plans – demonstrating the benefits of self-reporting and collaboration with the regulator.
Demystifying AI in surveillance: Video series
When it comes to AI in surveillance, it’s important to have a clear understanding of how generative models can enhance risk detection. Learn how LLMs enable effective, accurate communications monitoring, and the steps we take to ensure transparency, security, and explainability.
Regulatory Wrap episode 68: FCA WhatsApp breach survey
In Regulatory Wrap for the week to August 18, Jennie Clarke discusses recent FCA survey results, which found that firms are still grappling with off-channel comms violations.
Where does your data go when you use Global Relay’s AI-enabled surveillance?
We’ve mapped how your data moves through our closed ecosystem for analysis by our AI-enabled surveillance solution, and what safety measures we’re taking to ensure your data is never compromised.
Are we entering a new era of deregulation?
With regulators shifting focus away from enforcement and emphasizing the benefits of self-reporting early, are we entering a period of deregulation in financial services – and what does this mean for firms?
Debunking the latest LLM myths
Skepticism around LLMs is common within the financial services industry, however, much of this is based on outdated or inaccurate assumptions. Global Relay's SME sits down to unpack what modern LLMs can actually deliver.
Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss
In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.
FCA Survey finds 178 WhatsApp policy breaches, with over 41% from senior staff
A survey of 11 wholesale banks found that 178 breaches of communications compliance policies were reported, despite firms introducing compliance recording and monitoring solutions, and the majority came from senior employees.
FCA and FINRA shift attention to individual accountability with misconduct fines
Regulators are taking a hardline stance on personal conduct and accountability, as shown by the latest FINRA enforcement action against a broker for exam cheating, as well as a £1 million FCA fine against a CEO for “lack of integrity through misleading statements.