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.
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.
U.S. regulatory enforcements against non-compliant electronic communications
Obtain an overview of the direction U.S. regulators have taken in approaching non-compliant communications, highlighting notable enforcement actions for channels like text, instant messaging, and social media.
Is voice surveillance the missing piece for compliant communications?
Unlock expert insights from our recent webinar exploring regulatory trends and industry voice surveillance practices, and find out whether voice surveillance is the missing piece in the compliant communication puzzle.
Key updates to the Department of Justice Evaluation of Corporate Compliance Programs
The September 2024 update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (ECCP) gives firms much to contemplate and some pressing concerns to address, including the risks associated with emerging technologies.
FINRA 2210
Imagine accidentally revealing something that you were never supposed to share. In a regulated industry like finance, that type of mistake can have severe consequences, which is precisely why FINRA 2210 exists.
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.
CFTC audio comms recordkeeping fine sounds the bell on voice capture
A CFTC fine against a firm for recordkeeping lapses related to audio messages across multiple platforms raises flags about both voice communications capture and data governance.
$118 million in SEC and CFTC fines continues off-channel comms crackdown
The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.
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.
Social Media: To Ban or Not to Ban?
Surveillance and compliance experts Hammad Hanif, Lloyds Banking Group, and Darren Sirr, BNY Mellon Markets, shared their insight as part of our recent social media webinar, chaired by Rob Mason, Global Relay Director of Regulatory Intelligence.