The Conduct Chronicles – “On the Public Record”
Emma Parry writes on her experience of misconduct within the financial services, and how firms must do more than monitor communications to prevent it.
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: 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.
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.
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.
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.
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.
Regulatory Wrap Episode #25: Reviewing Regulatory Risks, Lessons from a $350M Fine
In Regulatory Wrap for the week to April 5, Rob Mason considers how firms can ensure effective surveillance procedures and complete trading data capture in reflection of related enforcements.
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.
Regulatory Wrap Episode #24: Revealing Regulatory Fines, Deficiencies & Penalties
In Regulatory Wrap for the week to March 22, Rob Mason recounts what led to joint action penalties against a major U.S. investment bank for its lacking surveillance program.
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.