CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.
IM has become an invariable part of business practice, and among the most notable of these platforms is Microsoft Teams. When utilizing this communication channel, how can financial institutions optimize its usage while handling associated security and regulatory compliance risks?
With the SEC taking leading cryptocurrency exchanges to court, questions are being raised about whether regulations require more clarity, and the potential impacts of communications risk.
Global Relay's first industry insights report, which serves as a litmus test for market responsiveness to regulatory action for recordkeeping and communications compliance.
“Significant changes” have been made to the DOJ's ECCP (Evaluation of Corporate Compliance Programs) with a focus on the use of personal devices.
Regulators are tightening their net to catch firms who fail to prevent the use of illicit communications. We look at where off-channel communication channels are hiding, and how to find them.
As more financial institutions act to dock the remuneration of employees who use off-channel communications, we look at whether pay reduction is a long-term fix.
American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
FINRA has published its annual Examination and Risk report. We take a look at the five key provisions of FINRA’s Report for end-to-end communications and data – from restricted channels to regulatory reporting.