Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Compliance & Conversation: Exploring DORA
On 3 July, 2024, we were joined by compliance and surveillance experts for our Compliance & Conversation event. Bradley Rice, Partner, Financial Services Regulation at Ashurst, explored the potential impacts of upcoming EU operational resilience legislation – DORA.
On Demand: Compliance & Conversation – Exploring DORA
Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.
Generation AI: What are the recordkeeping rules for generative AI platforms?
Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.
On Demand: Compliance & Conversation – SMCR struggles – what does the SMCR extension mean for you?
On July 3, 2024, Global Relay hosted its annual Compliance & Conversation event, where compliance professionals and industry experts convened to discuss the new challenges and priorities at the fore of the regulatory landscape.
Back to bASICs – Australian regulator sets out business communications expectations
The Australian securities regulator has joined its global neighbors in clearly setting out expectations around business communications risks, and how firms should mitigate them.
The Source Podcast: Garbage in, garbage out – Why data quality and metadata integrity matter
In episode three, we're joined by Garrett Chow, Director, Commercial Operations at Global Relay, to get to grips with data quality and the importance of metadata retention. Having access to complete communications data and metadata, in the right format that’s easily sortable and searchable, can make all the difference between good regulatory relations – or being told to clean up your act.
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
Stop, cooperate, and listen – The five principles of cooperating with SEC investigations
Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.
The Source Podcast: Getting into scrapes – Why you can’t scrape by on compliance
In our second episode we're joined by Vince Dimase, Global Director of Customer Strategy, LSEG, as we dive into why scraping is never the solution. While some providers believe scraping is ‘good enough’ when capturing communications, when it comes to compliance firms run the risk of not having the full data picture. We review why native connections and capture-from-source will keep organizations out of regulatory scrapes.