$65,000 FINRA fine for firm’s multiple recordkeeping rules breaches
A California-based firm has been hit with a sizable FINRA fine for multiple recordkeeping and Regulation Best Interest rules failures, including off-channel communications.
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.
FINRA fines broker $10,000 for off-channel communications breaches
An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.
Regulatory Wrap episode 68: FCA WhatsApp breach survey
In Regulatory Wrap for the week to August 15, Jennie Clarke discusses recent FCA survey results, which found that firms are still grappling with off-channel comms violations.
Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss
In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.
The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.
Why message archiving is critical for compliance in 2025
Amid ever-increasing regulatory scrutiny, message archiving for compliance isn’t just a best practice - it’s essential for protecting your business and meeting today’s demanding regulatory standards.
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.
5 Tips to enhance voice surveillance
With regulatory expectations around voice channels increasing, firms need to ensure that they’re not only capturing relevant voice channels, but using voice data to enhance their surveillance and compliance.
Another day, another SEC fine: The SEC charges six credit agencies $49 million for recordkeeping failures
As the SEC rolls out another combined civil penalty, this time against credit rating agencies for recordkeeping failures, firms must look to ensure tone from the top, while the regulator must implement more robust deterrence methods to prevent further violations.
Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M
In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.
