Records & Information Management

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?

Time to own up? FCA pursues senior execs in £18m enforcement

The FCA is pursuing action against three senior executives in an £18m enforcement. Accountability is on the rise, from increasing enforcement through to emerging regulation.

FINRA enforcement cements focus on unauthorized comms and senior managers

FINRA has taken action against an investment bank and two senior managers for their use of text messages for business activity. We explore why this enforcement matters for the compliance team.

Recordkeeping failures dominate SEC enforcement results in 2022

The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.

FINRA sweeps communications for crypto assets

In the face of increased volatility in the crypto asset market, FINRA has asked broker dealers to disclose their communications data for crypto.

Q&A: How training and customer support enables confident compliance

As regulators push towards operational resilience and increased transparency, we take a look at the important role of training and customer support within Global Relay.

5 steps towards successful operational resilience

Over the last three years, volatile market events have brought operational resilience to the top of the regulatory agenda. We set out five steps towards operational excellence.

SEC will reward cooperation where firms “mess up” with unauthorized communication

SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?

End of Transition Period for the New SEC Marketing Rule

As of November 4, 2022, SEC-registered firms must comply with all provisions of the new Marketing Rule. Read more on the substantive changes ahead.