On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
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.
A Simple Guide to FINRA Rule 4530
Navigate FINRA Rule 4530 with our straightforward guide. Understand requirements, and compliance strategies in this easy-to-follow resource.
A guide to how FINRA 4511 works
Explore the intricacies of financial industry regulations and navigate the landscape of record-keeping requirements seamlessly. Trust Global Relay for expert solutions ensuring your organization stays in compliance with FINRA Rule 4511, safeguarding your communication practices in the financial sector.
A Guide to the FINRA 3110 Rule
The FINRA Rule 2010, Explained
Gain clarity and confidence in navigating the regulatory landscape with Global Relay's comprehensive guide to FINRA Rule 2010. Unravel the intricacies of this foundational rule, understanding its implications for ethical conduct within the financial industry.
Cryptic crypto – FINRA says crypto marketing needs clearing up
After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.
Regulatory Wrap Episode 8: Exploring FINRA’s Proposed Rule 3110c Amendment
In Regulatory Wrap for the week to October 6, we deliberate regulators' proposal to modernize processes by making updates to Rule 3110c, which affects remote inspections.
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.
New Channels, New Challenges – Social media, emojis, and compliant communications
A recent ESMA supervisory briefing has highlighted the potential risks of social media when it comes to investment advice, and FINRA has set out expectations around emojis and compliant communications. How can firms keep pace with emerging technologies and risks?
Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications
The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.