Regulatory Compliance

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.

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.

Keeping watch – Key learnings from the FCA’s Market Watch

The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.

The Source Podcast: Communications Channels – why you need to catch them all

In the first episode of our series, we're joined by Pankaj Anand, Head of Governance Technology Solutions, StoneX, as we explore growing regulatory demands around communications capture, how technological innovation is changing the messaging landscape in real-time, and how regulation expectation is evolving alongside it.

Capture if you can webinar: Your questions answered

Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.

On Demand: Capture if You Can

Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.

The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule

The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.

6 tips to enhance eDiscovery practices

Have you considered if your firm has sound eDiscovery processes in place? Learn more about the top tips you can employ in preparation for a potential investigation or audit.

Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines

The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.

On the books – FINRA fine proves marketing comms can be a recordkeeping risk

A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.