CASL: Canada’s anti-spam law compliance in digital marketing
Navigating Canada’s anti-spam law (CASL) requires a clear and robust strategy. Get the definitive guide to CASL compliance to avoid the common pitfalls, minimize risks, and leverage scaleable technology. Learn how CASL compliance can be an invaluable tool for building customer trust while also boosting deliverability and return on investment.
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.
How can firms maintain SEC Marketing Rule compliance?
Despite a slowdown in regulatory enforcement actions, ongoing Marketing Rule fines have signaled that compliant marketing messaging remains a priority for SEC. Explore how firms can reinforce compliance posture and implement the right tools to follow the marketing rules.
The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
Financial promotions on social media
In March 2024, the Financial Conduct Authority updated their rules around financial promotions in social media in accordance with the new Consumer Duty requirements. This update clarified how regulated financial institutions needed to manage all authorized promotions across social media, and set up controls for any of the ‘finfluencers’ they work with.
Regulatory Wrap Episode 50: 2024 Wrapped – the Top Compliance Stories
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
On Demand: Social Media Risks – To Ban, or Not to Ban?
Watch on-demand as Global Relay sits down with Darren Sirr and Hammad Hanif to discuss the fast-emerging compliance risks presented by social media.
The SEC Marketing Rule: a short guide
The SEC’s Marketing Rule is a recent addition to the rulebook, and provides guidance on how investment advisory firms can advertise their services. Marketing rule compliance applies to all marketing material produced and promoted by financial firms, from websites to social media.
Regulatory Wrap Episode 40: The SEC Fines 9 Firms $1.24M
In Regulatory Wrap for the week to September 13, Jay Hampshire reviews a recent SEC enforcement for misleading marketing.
Nine firms fined $1.24 million for not playing by SEC’s Marketing Rule
With a $1.24 million penalty representing the largest fine so far as part of the SEC’s ongoing Marketing Rule crackdown, are firms doing enough to ensure their marketing communications are compliant?