Compliance

Bad finfluence – Is influencer marketing worth the risks?

With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?

Are conduct and culture moving up U.S. regulators’ agendas?

Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.

Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations

In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.

Compliance & Conversation: Exploring DORA

On 3 July, 2024, we were joined by compliance and surveillance experts for our Compliance & Conversation event. Bradley Rice, Partner, Financial Services Regulation at Ashurst, explored the potential impacts of upcoming EU operational resilience legislation – DORA.

On Demand: Compliance & Conversation – Exploring DORA

Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.

Generation AI: What are the recordkeeping rules for generative AI platforms?

Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.

On Demand: Compliance & Conversation – SMCR struggles – what does the SMCR extension mean for you?

On July 3, 2024, Global Relay hosted its annual Compliance & Conversation event, where compliance professionals and industry experts convened to discuss the new challenges and priorities at the fore of the regulatory landscape.

Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms

In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.

Back to bASICs – Australian regulator sets out business communications expectations

The Australian securities regulator has joined its global neighbors in clearly setting out expectations around business communications risks, and how firms should mitigate them.

Regulatory Wrap Episode 33: The Ongoing Transparency of the SEC Leaves No Room for Doubt for Firms

In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.

The Source Podcast: Garbage in, garbage out – Why data quality and metadata integrity matter

In episode three, we're joined by Garrett Chow, Director, Commercial Operations at Global Relay, to get to grips with data quality and the importance of metadata retention. Having access to complete communications data and metadata, in the right format that’s easily sortable and searchable, can make all the difference between good regulatory relations – or being told to clean up your act.

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