Compliance & Conversation: What does the data of 12,000 financial organization reveal about recordkeeping and surveillance trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
Financial promotions on social media
In March 2024, the Financial Conduct Authority updated their rules around financial promotions in social media in accordance with the new Consumer Duty requirements. This update clarified how regulated financial institutions needed to manage all authorized promotions across social media, and set up controls for any of the ‘finfluencers’ they work with.
Culture is contagious: Is surveillance your first defense?
The FCA has doubled-down on its focus on conduct and culture, noting that it will be taking direct action against firms that do not have controls to detect misconduct.
Surveillance, Gen AI, and third-party risk: Key takeaways from FINRA’s Annual Oversight Report for 2025
FINRA has published its Annual Oversight Report for 2025, giving firms a 'heads up' of the regulator's key focus areas for the year, including AI, recordkeeping, and third-party and social media risks.
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?
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.
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.
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.
Personal phones, personal gains: further fines for non-compliant communication
After two years of sustained enforcement action for firms that failed to ensure compliant communication, June shows that the focus on non-compliant communication and recordkeeping failures lives on – for regulators and financial institutions alike.
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.