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.
Regulatory Compliance
Video
Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings
In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.
Regulatory Wrap Episode 15: Global Relay Data Insights Report, LinkedIn’s Compliance Risks Unveiled
In Regulatory Wrap for the week to December 8, 2023, Jennie Clarke looks into why LinkedIn could cause the next compliant comms crisis
Regulatory Compliance
Video