Records & Information Management

Play chess, not checkers: 5 ways firms can fortify policies against noncompliance

Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.

What can financial services firms learn from the SEC’s X account hack?

With the Securities and Exchange Commission’s X account being hacked and used to share false information, what lessons can firms learn to minimize social media risk?

Compliant communications Q&A: 4 ways to combat common challenges

Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.

Will the FCA crack down on WhatsApp? What happened and what’s next

Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?

What do the SEC enforcement results tell us about compliance trends?

With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.

12 Do’s and Don’ts of Internal Communications

Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.

Artifice and Intelligence – What does AI insider trading mean for regulation?

With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?

The road ahead: A podcast summary on recordkeeping compliance and regulatory action

Regulators have made their view on noncompliance clear as they continue to use a firm hand to squash communications and recordkeeping violations. Global Relay’s Executive VP of Compliance, Chip Jones, spoke to this point in an FCPA Compliance Report podcast, weighing in on what moves organizations can make to ensure they’re not dealt the next costly blow.

Fair Warning – SEC sets out trigger factors for acting against CCOs

In a recent speech, Gurbir S. Grewal, Director of the Division of Enforcement for the SEC, laid out the triggers that will see the regulator acting against compliance functions – and gave insight on how to avoid them.

Surveil to prevail: An electronic communications webinar recap

The multiplication of communication channels makes it easier than ever before to communicate, yet increasingly difficult to comply within the financial services industry. In a recent webinar, industry experts including Global Relay’s Rob Mason set out how firms can manage risk by attending to surveillance strategies and communicating policies in a way that is comprehensive to employees and mindful of regulations.

Compliance, communications, and compensation: DOJ’s ECCP follows the rhythm of regulatory action

The DOJ released its Evaluation of Corporate Compliance Program (ECCP) amendments in March 2023, which center around communication retention policies for personal devices and messaging applications, as well as compensation criteria in relation to compliance. Subsequent guidelines and enforcements have proved these notions still remain at the front of regulators’ minds.