Private Equity

Report

6 tips to enhance eDiscovery practices

Have you considered if your firm has sound eDiscovery processes in place? Learn more about the top tips you can employ in preparation for a potential investigation or audit.

OCC to join regulatory rollout as it eyes operational risk requirements for banks

The OCC has announced that it is focusing on baseline operational resilience requirements for large banks with critical operations.

Report

Global Relay experts’ expectations for 2024

From conduct and culture to the election cycle, changing communications channels to the power of artificial intelligence, our subject matter experts share their predictions and insights into the compliance trends for the year to come.

Report

Global Relay Data Insights: Compliant Communications

Global Relay analyzes the data of over 10,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data, and what the future may hold for compliant communications.

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.

Article

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.