The FCA, WhatsApp, and recordkeeping
The FCA surveyed UK banks on the use of encrypted and unmonitored messaging apps like WhatsApp and Signal, with no specific enforcement action currently in the works. Firms must still ensure compliance with recordkeeping rules, regardless of technology used.
The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
SEC doubles down on off-channel communications settlements
The SEC has denied a motion raised by 16 firms to modify or amend previously agreed settlements for off-channel communication violations that sought to “equalize” their ongoing compliance responsibilities with more recent enforcement cases.
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With a changing of the regulatory guard, what are the implications for U.S. off-channel communications?
Susannah Hammond explores what recent changes at the SEC might mean for U.S off-channel communications and recordkeeping enforcements.
Regulators give firms a thumb’s down for not capturing emojis
Regulators are increasingly scrutinizing the use of emojis and avatars in communications within financial services, due to their potential for ambiguity and misuse. There is a growing need for enhanced monitoring to circumvent any risks and to capture misconduct.
Commonwealth Financial Network chooses Global Relay for integrated, scalable compliance
Find out why Commonwealth Financial Network chose Global Relay's trusted, scalable compliance solution.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
Regulatory wrap episode 52: CIRO’s 2025 compliance priorities
In Regulatory Wrap for the week to February 7, Kathryn Fallah discusses the newly-established Canadian Investment Regulatory Organization (CIRO) and its 2025 Annual Compliance Report.
A new frontier for recordkeeping and surveillance teams
As data comprehensiveness becomes mission critical, the intersection between recordkeeping and surveillance is more important than ever.
On Demand: Compliance & Conversation – Recordkeeping and surveillance
Watch on demand as a panel of compliance and surveillance experts discuss trends including AI, social media, and culture and conduct risks.