What is Chain of Thought prompting – and what are the benefits?
As the pace of AI adoption continues to increase, firms operating in regulated industries are embracing the opportunities that technologies like Large Language Models present for compliance and monitoring, and the increased transparency around model decision making it can provide.
Has compliance outgrown traditional archiving?
Compliance teams are contending with more data, more regulatory pressure, and more advanced technology. To keep up, you need an archive that does more than just passively store data.
$1.1 million FINRA fine for AML compliance failings
Do recent enforcement actions from FINRA, including a $1.1 million fine for AML compliance program failings and a member ban for unapproved channel use, indicate the regulator’s direction of travel for 2026?
What is the FCA’s final NFM guidance?
The FCA has released its final guidance surrounding non-financial misconduct. Firms must now take accountability and be transparent in cases of bullying, harassment, and intimidation within their businesses.
Regulatory Wrap episode 76: FCA NFM final rules
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
10 questions we always get asked during security due diligence
Given the increase in cyber security incidents, firms are reassessing strategies and looking to implement more robust and secure solutions. Find out the steps Global Relay takes to ensure your data remains protected.
How is comprehensive risk management a competitive advantage?
With security incidents and data breaches becoming more prevalent – and more disruptive – sound risk-management frameworks can not only minimize threats but give businesses a competitive advantage.
$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
Regulatory Wrap episode 75: SEC 2026 Examination Priorities
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
Global Relay Data Insights: Communication Capture Trends in 2025/26
Global Relay analyzes the data of over 12,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data.
Regulatory Wrap episode 74: The FCA knows what you did last summer
In Regulatory Wrap for the week to October 31, Jay Hampshire breaks down a speech from the FCA, which reinforces its “do the right thing” motto.