Industry Insights Report: Compliant Communications 2023
Global Relay's first industry insights report, which serves as a litmus test for market responsiveness to regulatory action for recordkeeping and communications compliance.
UK regulators take aim at WhatsApp: is this the first domino to fall?
The UK’s Prudential Regulation Authority has censured a bank for wide-ranging regulatory failings, including a lack of formal record keeping procedures to manage or retain WhatsApp messages.
SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
Eight simple steps to migrating eComms data to the cloud
As firms move to cloud-based data archiving solutions, we take a look at the primary advantages of cloud over on-premise archiving systems.
DOJ unveils “significant change” in ECCP approach to communication platforms
“Significant changes” have been made to the DOJ's ECCP (Evaluation of Corporate Compliance Programs) with a focus on the use of personal devices.
Illicit communications and where to find them
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.
Remuneration reduction: the solution for illicit comms?
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.
Enforcing from within: Morgan Stanley proactively tackles compliant communications
American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
5 key messages from FINRA’s 2022 Report
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.
SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
Trends in Surveillance
Even the established compliance practice of monitoring an array of data types for regulatory breaches and other forms of misconduct has evolved post-pandemic. But how exactly is the market changing, what are the key trends and where is surveillance practice heading?