Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights
In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.
Why Apple® Messages should be on your communications capture list
As one of the main platforms used for texting, firms should assess their capture needs for Apple® Messages to keep in line with recordkeeping requirements.
Record year for SEC enforcement sees $8.2 billion in fines through 2024
The SEC has released its annual enforcement results for 2024, giving insight into the number of enforcement actions, totals fines imposed, and a comparison of the regulator’s achievements year-on-year.
Global Relay Data Insights: Communication Capture Trends in 2024
Global Relay analyzes the data of over 12,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data.
SEC speech outlines that communications compliance enforcements aren’t going anywhere
A speech from Sanjay Wadhwa, acting director of the SEC’s division of enforcement, has spelled out that the regulator will continue to focus on off-channel communications and the importance of cooperation.
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.
Global Relay Industry Insights: Compliant Communications 2024
Global Relay has compiled and analyzed industry responses to regulatory action to lift the lid on how compliance, risk, and surveillance executives are managing business communication, and their attitudes to emerging risk, from AI to social media.
The Source Podcast: Communications Channels – why you need to catch them all
In the first episode of our series, we're joined by Pankaj Anand, Head of Governance Technology Solutions, StoneX, as we explore growing regulatory demands around communications capture, how technological innovation is changing the messaging landscape in real-time, and how regulation expectation is evolving alongside it.
Regulatory Wrap Episode 9: Navigating Compliance Across Messaging Channels
In Regulatory Wrap for the week to October 13, we reflect on a recently issued SEC fine against a former industry analyst for insider dealing on Xbox audio.
Regulatory Wrap Episode 6: The Crucial Role of Leadership in Compliance
In Regulatory Wrap for the week to September 22, Jennie Clarke poses the question – what role do leadership and “tone from the top” play in promoting compliance?