The Conduct Chronicles – “I Spy with my Little AI”
Emma Parry analyzes how firms are increasingly looking to monitor social media channels and their use, and are utilising AI and to do so.
Four key steps to mitigate social media risk
How can firms address the compliance risks that come along with social media's integration into business operations?
The Conduct Chronicles – “The real-world impact of Market Manipulation”
Emma Parry discusses how regulators are increasing enforcement and urging firms to improve oversight, as seen in cases such as the 'Whatsapp' fines and JP Morgan's market manipulation, underscoring the broader impact of market abuse on consumers.
The Conduct Chronicles – “Are we winning the Culture War?”
Emma Parry explores the need for firms to invest more into their work cultures to ensure the prevention of both financial and non-financial misconduct.
The Conduct Chronicles – “Social Media. Who is really following us?”
Emma Parry discusses the emergence of social media and the risks that come with it. As a result firms are cracking down on monitoring their employees and screening their backgrounds, however, they must ensure they are being transparent in their pursuit.
The Conduct Chronicles – “On the Public Record”
Emma Parry writes on her experience of misconduct within the financial services, and how firms must do more than monitor communications to prevent it.
Compliance & Conversation – Eyes on surveillance: from trading to communications, why is the spotlight on surveillance?
Global Relay sits down with Head of Global Wholesale Market Surveillance at Barclays, Steve Livermore, and Group Head of Market Conduct Risk at UBS, Ian Blair, to cover the trending topics in surveillance.
Play chess, not checkers: 5 ways firms can fortify policies against noncompliance
Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.
The road ahead: A podcast summary on recordkeeping compliance and regulatory action
Regulators have made their view on noncompliance clear as they continue to use a firm hand to squash communications and recordkeeping violations. Global Relay’s Executive VP of Compliance, Chip Jones, spoke to this point in an FCPA Compliance Report podcast, weighing in on what moves organizations can make to ensure they’re not dealt the next costly blow.
Surveil to prevail: An electronic communications webinar recap
The multiplication of communication channels makes it easier than ever before to communicate, yet increasingly difficult to comply within the financial services industry. In a recent webinar, industry experts including Global Relay’s Rob Mason set out how firms can manage risk by attending to surveillance strategies and communicating policies in a way that is comprehensive to employees and mindful of regulations.
CFTC Commissioner urges regulatory reforms to keep pace with technology
CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.