Regulatory Wrap episode 63: Is comms compliance at a tipping point?
In Regulatory Wrap for the week to June 13, Rob Mason dissects key findings from our latest Industry Insights: Compliance Communications 2025 Report.
FINRA fine shows off-channel comms are still on the record
Despite a global push towards reduced regulation, a recent FINRA-issued fine for off-channel communication shows that recordkeeping and surveillance remain a regulatory priority.
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
Data structure and enrichment is key to unlocking the full potential of AI-powered surveillance
More than two-thirds of compliance teams have or are considering implementing AI tools. Learn how the clear, content-rich format of Unified Parsed Messages boosts the speed and accuracy of AI-powered surveillance.
Surveillance Snippets: Step up the surveillance game with AI enablement
High volumes of data require high-tech surveillance systems to keep pace – which is where AI comes in. How can AI-enablement help firms take their surveillance governance to the next level?
Regulatory Wrap episode 62: DOJ makes self-disclosure a strategic advantage
In Regulatory Wrap for the week to May 23, Ryan Sheridan uncover how the DOJ’s updated white-collar enforcement plan repositions self-disclosure as a commercial advantage.
Global Relay’s AI-enabled approach to surveillance
Levelling up from lexicon-based system, Global Relay Surveillance uses GenAI and LLMs to deliver accurate risk analysis.
Surveillance Snippets: Is evolving technology the answer to all surveillance questions?
The only way for firms to keep pace with industry modernization is to invest in technologies that are equipped to adapt to evolving compliance and surveillance needs.
DOJ reforms self-disclosure approach with new corporate enforcement plan
The DOJ has altered its corporate enforcement policy to simplify investigations and amplify the benefits firms can receive by self-reporting, fully cooperating, and effectively remediating misconduct.
Surveillance Snippets: Surveil now to save later – why should firms invest anyway?
By establishing a well-nourished surveillance system early on, firms can reap invaluable benefits later, such as avoiding steep regulatory fines and boosting operational efficiencies.
Surveillance Snippets: Mind the data capture gap with surveillance strategies
When considering surveillance, it all comes down to data – and missing or incomplete datasets could pose a dire issue. How can firms reevaluate their surveillance governance and data management to maintain compliance with U.S. regulators?