$1.1 million FINRA fine for AML compliance failings
Do recent enforcement actions from FINRA, including a $1.1 million fine for AML compliance program failings and a member ban for unapproved channel use, indicate the regulator’s direction of travel for 2026?
Regulatory Wrap episode 76: FCA NFM final rules
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
How is comprehensive risk management a competitive advantage?
With security incidents and data breaches becoming more prevalent – and more disruptive – sound risk-management frameworks can not only minimize threats but give businesses a competitive advantage.
How Global Relay ensures a frictionless implementation
A fumbled implementation can sink months of work and money spent. Learn the warning signs and read how Global Relay’s collaborative Enterprise Success Program guarantees we always stick the landing.
Crypto Decrypted: Strengthening crypto fluency to manage evolving risks
Digital assets offer numerous opportunities for both firms and markets. However, to circumvent risk and meet regulatory expectations, firms must build high standards of crypto fluency amongst compliance teams.
FINTRAC fines five firms over C$350,000 for AML failures
Canada's anti-money laundering (AML) regulator FINTRAC has issued fines totalling over C$350,000 to five firms for multiple breaches of the Proceeds of Crime and Terrorist Financing Act.
Regulatory Wrap episode 75: SEC 2026 Examination Priorities
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
Has the SEC shifted focus in its 2026 Examination Priorities?
The SEC’s Examination Priorities for 2026 include focus areas that align with emerging risks, as well as an emphasis on ensuring compliance programs are effective – though, notably, it make no mention of digital assets.
How does Global Relay ensure the long-term integrity of every message?
Constant Integrity Checking is a unique security measure developed by Global Relay to perpetually guarantee customer data is complete and untampered with.
An essential guide to capturing social media communications for FinServ
An essential guide into the most effective way to implement social media capture and monitoring solutions that comply with the rules and regulations set out.
What are the key elements of a strong encryption strategy?
Data protection is essential to ensuring compliance and maintaining business continuity. Explore what encryption processes and security hardware firms should look for when implementing solutions to ensure their data is safeguarded.