Regulatory Compliance

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.

Crypto’s regulatory turf war

After its latest market crash, which has cost investors a combined $2trn, there are calls for crypto to be more closely regulated. But who should be responsible for digital assets?

Not every cloud has a silver lining

It’s a multibillion dollar industry dominated by Amazon, Google and Microsoft. But the public cloud market is not fit for purpose in the financial sector, where specialist private cloud providers such as Global Relay offer tailored, more secure services and better value

Hines Securities Achieves Archive Reliability with Global Relay

Learn how Global Relay provided a modern solution to support the firm's major expansion

AFME Conference in Amsterdam takes stock of post-pandemic challenges

Executives meet at AFME’s Sixth Annual Compliance and Legal Conference in Amsterdam.

Recordkeeping Is ‘Sacrosanct’

Global Relay's Director of Regulatory Intelligence Alex Viall shares his thoughts on the most recent round of fines from U.S. regulators for recordkeeping failures by financial firms.