Over a decade of partnership enables Baird to centralize and scale compliance
Learn how Global Relay helped Baird move from a patchwork of legacy solutions to a unified view of communications compliance.
How can firms maintain SEC Marketing Rule compliance?
Despite a slowdown in regulatory enforcement actions, ongoing Marketing Rule fines have signaled that compliant marketing messaging remains a priority for SEC. Explore how firms can reinforce compliance posture and implement the right tools to follow the marketing rules.
FINRA fines broker $10,000 for off-channel communications breaches
An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.
What is data completeness? And why does it matter?
Regulatory expectations around the data firms capture and archive are increasing. It is no longer enough to be able to evidence that you’re capturing communications data – the expectation is that data is captured and archived in its entirety. We explore the new standard of data completeness, and why meeting it matters.
Personal devices in crisis? Risks vs. rewards of BYOD policies in pharmaceuticals
Pharmaceutical companies face a tough choice between enabling BYOD or issuing corporate devices. Understand the risks, rewards, and compliance factors of both.
The Conduct Chronicles – Deepfakes. Who are you really dealing with?
Emma Parry explores the growing risk of deepfake fraud, highlighting real world cases that have led to the loss of millions of dollars through scams and manipulation.
What unified communications & collaboration leaders need to know about compliance
Understand emerging unified communications and collaboration (UC&C) compliance challenges and the regulatory and reputational risks of non-compliance with this data-led report from Metrigy.
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.
SEC plants crypto recordkeeping seeds with Spring 2025 agenda
Securities and Exchange Commission Chairman Paul Atkins has set the regulator on a course toward crypto with its early ‘Spring 2025’ statement, including proposals to bring crypto under the scope of existing recordkeeping regulations.
Proactive cooperation reduces CFTC fines to $8 million
The CFTC’s recent “enforcement sprint” initiative saw 10 firms fined a combined amount of $8.3 million, with most receiving fine reductions for “exemplary cooperation” and remediation plans – demonstrating the benefits of self-reporting and collaboration with the regulator.
SEC fines Massachusetts firm $75,000 for Marketing Rule violation
The SEC has fined a firm $75,000 for violating the Marketing Rule and recordkeeping violations, spurring the firms to implement greater compliance protocols.