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.
FCA publishes first non-financial misconduct survey results
The results of the FCA’s first survey into instances of non-financial misconduct across the finance sector show that recorded instances of NFM have increased by more than two-thirds in three years
5 Tips to enhance voice surveillance
With regulatory expectations around voice channels increasing, firms need to ensure that they’re not only capturing relevant voice channels, but using voice data to enhance their surveillance and compliance.
Regulatory whispers forewarn U.S. swap dealers of voice surveillance focus
Does recent enforcement action from the CFTC and NFA, along with regulatory messaging from the SEC, suggest that U.S. regulators are turning their focus to voice?
How to overcome the challenges of eComms Surveillance
In 2021, J.P. Morgan was fined $125 million after the SEC found that one of its broker-dealer subsidiaries failed to properly monitor and archive business-related communications. Whatsapp chats and emails were two of the channels highlighted in the legal proceedings, and JP Morgan blamed that fact that they were held on personal devices.
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.
Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation
In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.
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.
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.