Regulatory Wrap episode 72: FCA’s call to action on financial crime
In Regulatory Wrap for the week to October 10, Jay Hampshire summarizes the FCA’s recent speech encouraging collaboration to fight financial crime.
Regulatory Wrap Episode 71: FDA takes aim at pharma companies’ social media activity
In Regulatory Wrap for the week to October 3, Ryan Thaxton explores the growing spotlight on pharma companies’ social media activity.
Regulatory Wrap episode 70: What the CFTC’s “enforcement sprint” means for compliance
In Regulatory Wrap for the week to September 12, Kathryn Fallah reviews recent enforcement action from the CFTC against 10 firms for technical compliance failures.
Global Relay Announces AI-Enabled Voice Surveillance Solution
As regulators actively enforce recordkeeping and surveillance rules for voice communication, Global Relay announces AI-enabled voice-to-text transcription
How to overcome the challenges of eComms Surveillance
In 2021, J.P. Morgan was fined $125 million after the SEC found that one of its broker-dealer subsidiaries failed to properly monitor and archive business-related communications. Whatsapp chats and emails were two of the channels highlighted in the legal proceedings, and JP Morgan blamed that fact that they were held on personal devices.
Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M
In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.
Compliance & Conversation – Eyes on surveillance: from trading to communications, why is the spotlight on surveillance?
Global Relay sits down with Head of Global Wholesale Market Surveillance at Barclays, Steve Livermore, and Group Head of Market Conduct Risk at UBS, Ian Blair, to cover the trending topics in surveillance.
A Guide to the FINRA 3110 Rule
On Demand: Regulatory Wrestling – The Compliant Culture Smackdown
Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.