Hedge Funds

Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations

In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.

On Demand: Compliance & Conversation – Exploring DORA

Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.

On Demand: Compliance & Conversation – SMCR struggles – what does the SMCR extension mean for you?

On July 3, 2024, Global Relay hosted its annual Compliance & Conversation event, where compliance professionals and industry experts convened to discuss the new challenges and priorities at the fore of the regulatory landscape.

On Demand: Compliance & Conversation – What could the U.K. general election result mean for the future of regulation?

Global Relay sat down with Ashurst Partner, Brad Rice and Seung Earm, Partner at Ibex Compliance LLP, to discuss what the U.K. election result could mean for financial services.

Webinar

Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms

In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.

Personal phones, personal gains: further fines for non-compliant communication

After two years of sustained enforcement action for firms that failed to ensure compliant communication, June shows that the focus on non-compliant communication and recordkeeping failures lives on – for regulators and financial institutions alike.

Regulatory Wrap Episode 33: The Ongoing Transparency of the SEC Leaves No Room for Doubt for Firms

In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.

The Source Podcast: Garbage in, garbage out – Why data quality and metadata integrity matter

In episode three, we're joined by Garrett Chow, Director, Commercial Operations at Global Relay, to get to grips with data quality and the importance of metadata retention. Having access to complete communications data and metadata, in the right format that’s easily sortable and searchable, can make all the difference between good regulatory relations – or being told to clean up your act.

Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings

In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.

Regulatory recordkeeping enforcement roundup: A storybook retelling

Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.

Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation

In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.

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