Investment Advisors

Bad finfluence – Is influencer marketing worth the risks?

With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?

Are conduct and culture moving up U.S. regulators’ agendas?

Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.

Large Language Model or Large Liability Model? What are the risks of ChatGPT in financial services

As firms begin to implement ChatGPT into their business models they must be aware of its limitations. We look at the risks that ChatGPT could pose to financial services.

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.

Compliance & Conversation: Exploring DORA

On 3 July, 2024, we were joined by compliance and surveillance experts for our Compliance & Conversation event. Bradley Rice, Partner, Financial Services Regulation at Ashurst, explored the potential impacts of upcoming EU operational resilience legislation – DORA.

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.

Generation AI: What are the recordkeeping rules for generative AI platforms?

Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.

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.

Compliance & Conversation – Eyes on surveillance: from trading to communications, why is the spotlight on surveillance?

Global Relay sits down with Head of Global Wholesale Market Surveillance at Barclays, Steve Livermore, and Group Head of Market Conduct Risk at UBS, Ian Blair, to cover the trending topics in surveillance.

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.


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.