What does CIRO’s 2026 enforcement report mean for compliance teams?
A breakdown of CIRO's 2026 enforcement report and what its shift toward fewer but larger firm-level sanctions means for compliance, supervision, and recordkeeping.
How does voice surveillance differ from other forms of communications surveillance?
As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus written digital communications?
Will AI be the next off-channel communications scandal?
Off-channel communication risks are a tale as old as time, and AI is just a new character in the regulatory story. Firms must see it as another channel to capture and monitor for misconduct, and enlist tools and policies to ensure compliant use.
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.
Advice from a former regulator: Don’t let “deregulation” lull you into complacency
Nekia Hackworth, former SEC Deputy Director of Enforcement and DOJ Associate Deputy Attorney General, visited the Global Relay offices to share her thoughts on the government’s deregulatory stance and what compliance teams should look out for in an increasingly volatile risk landscape.
Something phishy: Are banks crossing the line with fake off-channel compliance messages?
Banks are now using dummy messages to source out the use of off-channel communications, as regulators continue to pursue and penalize firms unable to meet the rules. However, are banks crossing the line and, should they look to implement tools that compliantly capture communications across all channels instead?
Why message archiving is critical for compliance in 2026
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.
How Global Relay ensures a frictionless implementation
A fumbled implementation can sink months of work and money spent. Learn the warning signs and read how Global Relay’s collaborative Enterprise Success Program guarantees we always stick the landing.
What advice does the DOJ have for pharma compliance teams?
The DOJ assistant attorney general emphasized proactive self-disclosure and hinted at how pharmaceuticals can best prepare for new trends in enforcement.
FINRA fines broker $10,000 for off-channel communications breaches
An ex-broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.