Personal phones, personal gains: further fines for non-compliant communication
After two years of sustained enforcement action for firms that failed to ensure compliant communication, June shows that the focus on non-compliant communication and recordkeeping failures lives on – for regulators and financial institutions alike.
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.
Global Relay experts’ expectations for 2024
From conduct and culture to the election cycle, changing communications channels to the power of artificial intelligence, our subject matter experts share their predictions and insights into the compliance trends for the year to come.
Compliant communications Q&A: 4 ways to combat common challenges
Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.
Global Relay Data Insights: Compliant Communications 2023
Global Relay analyzes the data of over 10,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data, and what the future may hold for compliant communications.
Will the FCA crack down on WhatsApp? What happened and what’s next
Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?
12 Do’s and Don’ts of Internal Communications
Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.
Regulatory Wrap Episode 13: WhatsApp Challenges for the U.S. DOJ and U.K. MPs
In Regulatory Wrap for the week to November 10, 2023, Jennie Clarke unpicks the DoJ's expectations around corporate compliance and UK politics' WhatsApp problem
Regulatory Wrap Episode 11: Evaluating Trends Over The Years – WhatsApp & SMS – But What’s Next?
In Regulatory Wrap for the week to October 27, 2023, Jennie Clarke explores regulatory enforcement trends from throughout the year - and what these can tell us about potential trends for 2024
Mythbusters
We’ve taken a look at some of the most common compliance myths for WhatsApp, and we’ve busted them, so you can separate the myth from regulatory reality.
Ofgem’s £5.4 million fine shows Morgan Stanley still hasn’t gotten the message on compliant communications
With UK energy market regulator Ofgem fining Morgan Stanley £5.4 million for traders’ use of personal WhatsApp accounts for business, is it time for UK firms to get the message on communications compliance?