Goldman Sachs sacks four executives for serious violations of communications compliance policy
Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.
Ofgem’s £5.4 million fine shows Morgan Stanley still hasn’t gotten the message on compliant communications
With UK energy market regulator Ofgem fining Morgan Stanley £5.4 million for traders’ use of personal WhatsApp accounts for business, is it time for UK firms to get the message on communications compliance?
Compliant communications – How financial institutions can manage and optimize Microsoft Teams use
IM has become an invariable part of business practice, and among the most notable of these platforms is Microsoft Teams. When utilizing this communication channel, how can financial institutions optimize its usage while handling associated security and regulatory compliance risks?
Culture Wars – Regulators take zero-tolerance stance on the culture behind non-compliance
High-profile enforcement actions by the CFTC and SEC against big name banks are proof that regulators see communications and recordkeeping breaches as a culture issue.
Compliance Podcast Series: Episode 5 – Stay Ahead of Regulations
In the final episode of the series, Raewyn Danvers, Global Relay Sales Manager, Unified Communications, shares her insights into how industry professionals can get ahead (and stay ahead) of regulatory compliance technology trends.
Compliance Podcast Series: Episode 4 -Global Relay Industry Insights Report
In part four of this five-part series, Jennie Clarke, Global Relay Head of Content, shares a preview of the findings and trends from our Compliant Communications 2023 industry insights report.
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA
A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?
Compliance Podcast Series: Episode 2 – Is Business Innovation Being Stifled by Regulatory Action?
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 1 – The Future is Now: U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.