Webinars & Videos

Regulatory Wrap Episode 42: The FCA’s WhatsApp Crackdown

In Regulatory Wrap for the week to September 27, Jay Hampshire considers the FCA’s future objectives after recent action concerning off-channel communications.

On Demand: Social Media Risks – To Ban, or Not to Ban?

Watch on-demand as Global Relay sits down with Darren Sirr and Hammad Hanif to discuss the fast-emerging compliance risks presented by social media.

Regulatory Wrap Episode 41: $1.3M in SEC Fines & Citigroup’s Data Compliance Struggles

In Regulatory Wrap for the week to September 20, Jay Hampshire discusses another fine from SEC for recordkeeping failures in addition to other related data compliance concerns.

Regulatory Wrap Episode 40: The SEC Fines 9 Firms $1.24M for Misleading Marketing

In Regulatory Wrap for the week to September 13, Jay Hampshire reviews a recent SEC enforcement for misleading marketing.

Regulatory Wrap Episode 39: $49M in SEC Fines for 6 Firms

In Regulatory Wrap for the week to September 6, Jennie Clarke discusses the continuation of SEC recordkeeping fines, with the most recent being against six agencies for $49 million.

Regulatory Wrap Episode 38: Whistleblowing in the U.S. vs. U.K.

In Regulatory Wrap for the week to August 30, Jay Hampshire unpicks the difference in the U.S. and U.K. regulatory approach when it comes to whistleblowing.

Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M for Recordkeeping Failures

In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.

Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk

In Regulatory Wrap for the week to July 26, Jennie Clarke discusses ASIC’s recently defined expectations on communications risk and subsequent charges that prove its strict stance on noncompliance.

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.

SUPPORT 24 Hour