Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
On Demand: Compliance & Conversation – Exploring DORA
Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.
On Demand: Compliance & Conversation – SMCR struggles – what does the SMCR extension mean for you?
On July 3, 2024, Global Relay hosted its annual Compliance & Conversation event, where compliance professionals and industry experts convened to discuss the new challenges and priorities at the fore of the regulatory landscape.
On Demand: Compliance & Conversation – What could the U.K. general election result mean for the future of regulation?
Global Relay sat down with Ashurst Partner, Brad Rice and Seung Earm, Partner at Ibex Compliance LLP, to discuss what the U.K. election result could mean for financial services.
Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms
In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.
Regulatory Wrap Episode 33: The Ongoing Transparency of the SEC Leaves No Room for Doubt for Firms
In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.
Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings
In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.
Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation
In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.
Regulatory Wrap Episode 30: The FCA’s Operational Resilience Insights
In Regulatory Wrap for the week to May 31, Jennie Clarke discusses the theme of operational resilience, specifically reviewing the focal points the FCA highlighted in its operational resilience insights.
Regulatory Wrap Episode 29: FCA’s Insights on Trade Surveillance
In Regulatory Wrap for the week to May 17, Rob Mason analyzes the FCA’s Market Watch 79 release and its observations about firms’ trade surveillance practices.