Where to find illicit communications — and what to do about them
The pace of off-channel communications enforcement actions may have reduced, but the challenge of illicit communications persists.
New technologies, new risks – The evolution of communications compliance
The evolution of communications technology has changed the way firms do business. But every step change has presented compliance teams with new challenges. We explore how the communications landscape has changed, from voice communications to AI chats, and how compliance teams are already armed with the tools they need to tackle emerging risk.
Off-channel communications: What they are, why they’re still a compliance risk, and how to manage them
Off-channel communications are business messages sent on channels a firm can't capture, retain, or supervise. Here's what the SEC, FINRA, and FCA require, why bans don't work, and how firms bring conversations back on the record.
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?