On Demand: Regulatory Wrestling – The Compliant Culture Smackdown
Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.
The Cardinal Sins of Compliance
What are the 'cardinal sins' for compliance? What can organizations do to avoid the (good) book being thrown at them? Carroll Barry-Walsh tells all.
Marketing Compliance – One Rule to Rule Them All
The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.
Is Regulation Keeping Pace with AI Innovation?
The SEC’s recently laid out rule-writing agenda shows they have AI in their sights. But is the speed of technological innovation outpacing regulation?
Are Crypto Regulations too Cryptic? Not if you ask the SEC
With the SEC taking leading cryptocurrency exchanges to court, questions are being raised about whether regulations require more clarity, and the potential impacts of communications risk.
SEC drops 42 cases after record control failures
The SEC has dismissed 42 cases under investigation after it failed to properly manage internal records access procedures and controls.
Compliance & Conversation: Event Overview
In the fast-changing compliance and risk environment, knowledge sharing and learning from collective experience is vital to ensuring organizations can handle today’s challenges – and those yet to come.
On Demand: Compliance & Conversation Summer Party
Watch Global Relay's Compliance & Conversation Summer Party on demand.
Personal Devices, Personal Liability
The Financial Industry Regulatory Authority’s recent sanction of an Edward D. Jones & Co. veteran is a stark warning that, when it comes to illicit communications, compliance just got personal.
FCA speech warns firms that there is “nowhere to hide” for non-compliance
The Financial Conduct Authority has started to outline its new enforcement strategy, issuing a warning for firms to “get their ducks in a row now”.
“Responsible experimentation”: will Boston’s AI blueprint lay foundation for future approach?
The City of Boston has unveiled new guidelines for generative AI, which some are touting as the blueprint for future approaches. We take a look at what the new guidelines mean, and how compliance teams can navigate AI risks safely.