Is the SEC all in on AI following recent statements?
Speeches from Commissioner Hester Pierce and Acting Chairman Mark Uyeda suggest that the SEC may be taking a less prescriptive approach to AI technology moving forward.
Global Relay Data Center
Built for performance and sustainability, Global Relay's data center ensures secure, high-efficiency cloud storage.
LLM MythBusters – How does AI training for comms surveillance work?
Due to its novelty in communications surveillance, there are certain misconceptions about how AI is enabled and trained to identify risk. We’ve broken down five of the most common myths to uncover how LLMs operate within compliance processes.
Global Relay Industry Insights: State of AI in Surveillance 2025
As data comprehensiveness becomes mission critical, the intersection between recordkeeping and surveillance is more important than ever.
How can communications surveillance help pharma firms avoid fines?
Pharmaceutical companies urgently need robust communication surveillance to avoid data risks and reputational damage.
Regulatory wrap episode 52: CIRO’s 2025 compliance priorities
In Regulatory Wrap for the week to February 7, Kathryn Fallah discusses the newly-established Canadian Investment Regulatory Organization (CIRO) and its 2025 Annual Compliance Report.
What does the data of 12,000 financial organizations reveal about industry 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.
Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
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.
“It’s on the chat” – Shift in Nordic regulatory tone as Danske Bank fined $4.4 million for market manipulation
Norway’s financial regulator, Finanstilsynet, has fined Danske Bank A/S 50 million NOK for market manipulation, with the investigation unearthing “illuminating” evidence of misconduct across a range of communications channels.
Regulatory Wrap Episode 50: 2024 Wrapped – the Top Compliance Stories
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.