Regulatory Wrap Episode 9: Navigating Compliance Across Messaging Channels
In Regulatory Wrap for the week to October 13, we reflect on a recently issued SEC fine against a former industry analyst for insider dealing on Xbox audio.
Regulatory Wrap Episode 6: The Crucial Role of Leadership in Compliance
In Regulatory Wrap for the week to September 22, Jennie Clarke poses the question – what role do leadership and “tone from the top” play in promoting compliance?
Regulatory Wrap Episode 1: SEC Charges $300 Million to Wall Street Firms
In Regulatory Wrap for the week to August 11, 2023, we look at recordkeeping fines issued by the SEC, and some of the strictest messaging yet.
Compliance Podcast Series: Episode 5 – Stay Ahead of Regulations
In the final episode of the series, Raewyn Danvers, Global Relay Sales Manager, Unified Communications, shares her insights into how industry professionals can get ahead (and stay ahead) of regulatory compliance technology trends.
Compliance Podcast Series: Episode 4 -Global Relay Industry Insights Report
In part four of this five-part series, Jennie Clarke, Global Relay Head of Content, shares a preview of the findings and trends from our Compliant Communications 2023 industry insights report.
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 2 – Is Business Innovation Being Stifled by Regulatory Action?
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 1 – The Future is Now: U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
U.S. DOJ tells firms “do not wait for us to call you” in compliance for personal communication
The Department of Justice has alluded to new rules around the use of personal communication devices, and points to senior manager involvement as an aggravating factor for non-compliance.