Industry Insights Report: Compliant Communications 2023
Global Relay's first industry insights report, which serves as a litmus test for market responsiveness to regulatory action for recordkeeping and communications compliance.
Global Relay launches new digital information service – GRIP
Subscription service to deliver valuable intelligence and insights on practical compliance, regulatory change, and how to maximize technology to streamline these practices.
Illicit comms: not just a few bad actors
As technology evolves, it's hard for firms to ensure compliant communications. But does banning certain apps lead to a rise in illicit comms?
DOJ’s CCO Certification Requirement: raising the stakes for CCO liability
Last year, the U.S. DOJ introduced a new CCO Certification Requirement, placing even greater liability at the feet of senior compliance officers. Does the new rule empower, or just add more weight to CCO shoulders?
SEC Marketing Rule: compliance and confusion
The SEC’s Marketing Rule came into force on November 4, 2022, making substantial amendments to Rule 206(4)-1. We look at how investment advisers can successfully demonstrate compliance despite its complexity.
New Year, New SRO: Canada’s new single self-regulatory organization
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.
Helpful lessons from TSB’s £48m operational resilience fine
There's hidden gold in all enforcements. We take a look at regulatory lessons in light of a £48m fine for operational resilience failures.
When it comes to safety and privacy for electronic communications data, location is everything
Global Relay’s Senior Writer for Due Diligence, Vince Mendoza, reflects on the importance of location when storing electronic communications data.
U.S. DOJ tells firms “do not wait for us to call you” in compliance for personal communication
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.
Q&A: How training and customer support enables confident 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.
5 steps towards successful operational resilience
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.