Blog
How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.
Capture if you can webinar: Your questions answered
Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.
The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule
The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.
Insights
Industry Insights Report: Compliant Communications 2023
Global Relay's first industry insights report, which serves as a litmus test for market responsiveness to regulatory action for recordkeeping and communications compliance.
Webinar: Silicon Valley Bank crash and the consolidation of Swiss banking
On March 30, 2023 – in the midst of turbulent market events – regulatory luminaries Alex Viall and Rob Mason sat down to unpick the financial landscape.
The Compliance Hub
Rules & Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.
Glossary
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Broker Dealer Collection
How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.
Capture if you can webinar: Your questions answered
Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.