Has the SEC shifted focus in its 2026 Examination Priorities?
The SEC’s Examination Priorities for 2026 include focus areas that align with emerging risks, as well as an emphasis on ensuring compliance programs are effective – though, notably, it make no mention of digital assets.
How does Global Relay ensure the long-term integrity of every message?
Constant Integrity Checking is a unique security measure developed by Global Relay to perpetually guarantee customer data is complete and untampered with.
An essential guide to capturing social media communications for FinServ
An essential guide into the most effective way to implement social media capture and monitoring solutions that comply with the rules and regulations set out.
What are the key elements of a strong encryption strategy?
Data protection is essential to ensuring compliance and maintaining business continuity. Explore what encryption processes and security hardware firms should look for when implementing solutions to ensure their data is safeguarded.
Why use AI translation for compliance?
From increased efficiency, accuracy, and scalability to decreases in cost and security risk, AI-enabled translation and transcription is bringing a range of benefits to compliance and surveillance teams in highly regulated industries.
A complete guide to ChatGPT recordkeeping
ChatGPT use in financial services has dramatically increased over the past year – especially in North America – raising questions about whether firms are addressing generative AI compliance gaps and aligning with evolving regulatory guidelines.
$65,000 FINRA fine for firm’s multiple recordkeeping rules breaches
A California-based firm has been hit with a sizable FINRA fine for multiple recordkeeping and Regulation Best Interest rules failures, including off-channel communications.
Building AI agents for tomorrow: A governance-first approach
Global Relay Group Product Manager, Chris Lau, tells us how the implementation of AI agents should lead with a governance-first approach, and sets out 12 considerations to build AI agents with future regulation in mind.
FCA answers Call of Consumer Duty
The Financial Conduct Authority is updating its Consumer Duty approach to balance consumer protection with reducing compliance burdens on firms. It aims to clarify expectations, support innovation, and ensure fair outcomes.
Five ways a single-vendor solution can mitigate data governance risks
Learn how a single-vendor solution can capture, store, and monitor business communications to enable complete compliance, all while protecting your data.
The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.