Compliant communications

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.

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.

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.

Global Relay Industry Insights: Compliant Communications 2024

Global Relay has compiled and analyzed industry responses to regulatory action to lift the lid on how compliance, risk, and surveillance executives are managing business communication, and their attitudes to emerging risk, from AI to social media.

Social surveillance: The importance of comms capture for social media compliance

In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.

The Source Podcast: Getting into scrapes – Why you can’t scrape by on compliance

In our second episode we're joined by Vince Dimase, Global Director of Customer Strategy, LSEG, as we dive into why scraping is never the solution. While some providers believe scraping is ‘good enough’ when capturing communications, when it comes to compliance firms run the risk of not having the full data picture. We review why native connections and capture-from-source will keep organizations out of regulatory scrapes.

The Source Podcast: Communications Channels – why you need to catch them all

In the first episode of our series, we're joined by Pankaj Anand, Head of Governance Technology Solutions, StoneX, as we explore growing regulatory demands around communications capture, how technological innovation is changing the messaging landscape in real-time, and how regulation expectation is evolving alongside it.

On Demand: Capture if You Can

Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.

Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines

The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.

Panel discussion: What can 10,000 financial services firms tell us about communications capture?

Watch on demand: A panel of communications compliance and surveillance experts discuss the findings of our Data Insights: Compliant Communications report, and what they mean for communications capture.

Regulatory Wrap Episode 17: Regulatory Priorities, 2024 Major Trends, and a New Focus for the FCA

In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.

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