Computer Security Day: The role of leadership in protecting data
This Computer Security Day, it is important to recognize that strong leadership drives effective cybersecurity and ensures regulatory compliance.
Helzberg hones in on email archiving
Find out how Global Relay helped equip Helzberg Diamonds in this case study.
TD Bank earns itself $3 billion fine for ‘placing profit over compliance’
A $3 billion dollar fine has been imposed upon TD Bank for anti-money laundering failings and violating the Bank Secrecy Act.
C-suite under scrutiny as data mishandling hinders investigation and fails to meet regulatory expectation
C-suite professionals are facing the repercussions of their inability to manage data reporting and controls efficiently. It is vital that senior officials set the 'tone at the top' by maintaining regulatory standards and ensuring that incomplete data submissions are seen as unacceptable.
Managing the compliance risks of ephemeral messaging to meet DOJ guidance in healthcare and pharmaceuticals
Healthcare organizations and the pharmaceutical industry must look to implement solutions to ephemeral messaging in their compliance strategies.
Raising your Archiving IQ: Healthcare to take care
Does your organisation have all the tools it needs to properly preserve and capture all business communications?
Regulators drop their mics in their quest to preserve voice comms
As regulatory scrutiny increases around voice capture, it is essential that financial services adopt voice surveillance solutions to prevent market abuse and non-financial misconduct.
Another day, another SEC fine: The SEC charges six credit agencies $49 million for recordkeeping failures
As the SEC rolls out another combined civil penalty, this time against credit rating agencies for recordkeeping failures, firms must look to ensure tone from the top, while the regulator must implement more robust deterrence methods to prevent further violations.
The clock is TikToking, will firms get the message on off-channel comms?
Firms must look to implement technology to mitigate against risks presented by the proliferation of social media use in a business context. As platforms such as TikTok begin to dominate the media landscape, firms must look to revaluate their compliance infrastructures.
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.
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.