American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
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.
The Department of Justice has alluded to new rules around the use of personal communication devices, and points to senior manager involvement as an aggravating factor for non-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.
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 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?
As of November 4, 2022, SEC-registered firms must comply with all provisions of the new Marketing Rule. Read more on the substantive changes ahead.