Records & Information Management

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.

Transparency continued – The SEC clarifies its examination selection process for broker-dealers

The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.

Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings

In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.

Regulatory recordkeeping enforcement roundup: A storybook retelling

Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.

Global Relay Industry Insights: Compliant Communications 2024

Global Relay has compiled and analyzed industry responses to regulatory action to lift the lid on how compliance, risk, and surveillance executives are managing business communication, and their attitudes to emerging risk, from AI to social media.

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.

Regulatory Wrap Episode 29: FCA’s Insights on Trade Surveillance

In Regulatory Wrap for the week to May 17, Rob Mason analyzes the FCA’s Market Watch 79 release and its observations about firms’ trade surveillance practices.

Regulatory Wrap Episode 28: Analyzing FCA’s Controversial Enforcement Approach

In Regulatory Wrap for the week to April 26, Jennie Clarke reviews the FCA’s proposed enforcement approach to identify firms under investigation from the outset.

Regulatory Wrap Episode 27: SEC Crackdown, 5 Firms Fined for Marketing Rule Violations

In Regulatory Wrap for the week to April 19, Aarti Agarwal unpicks the SEC’s charges against five investment adviser firms for violating the Marketing Rule.

Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules, The SEC and FCA Increase Transparency

In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.

6 tips to enhance eDiscovery practices

Have you considered if your firm has sound eDiscovery processes in place? Learn more about the top tips you can employ in preparation for a potential investigation or audit.

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