Tailored archiving solutions for financial services, healthcare, and government in 2026
Firms in financial services, healthcare and government are each facing their own challenges to meet regulatory demands.
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.
$1.1 million FINRA fine for AML compliance failings
Do recent enforcement actions from FINRA, including a $1.1 million fine for AML compliance program failings and a member ban for unapproved channel use, indicate the regulator’s direction of travel for 2026?
FINRA 2026 Oversight Report flags GenAI, recordkeeping, and cybersecurity risks
The regulator’s annual Oversight Report has highlighted GenAI, recordkeeping, cybersecurity, and third parties as areas where firms should focus efforts to strengthen compliance programs.
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.
How does Global Relay ensure data security?
From private encryption keys to Constant Integrity Checks and ISO certification, learn more about how Global Relay keeps data security locked down to keep your records secure, available, and tamperproof.
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.
A complete guide to ChatGPT recordkeeping
ChatGPT use in financial services has dramatically increased over the past year – especially in North America – raising questions about whether firms are addressing generative AI compliance gaps and aligning with evolving regulatory guidelines.
$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.