Regulators give firms a thumb’s down for not capturing emojis
Regulators are increasingly scrutinizing the use of emojis and avatars in communications within financial services, due to their potential for ambiguity and misuse. There is a growing need for enhanced monitoring to circumvent any risks and to capture misconduct.
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.
A key lesson from JP Morgan’s $350 million fine: data completeness is critical – have you got eyes on all your comms?
JPMorgan's $350 million fine highlights the urgent need for firms to capture and monitor all communications, including GenAI, to stay compliant with FINRA and DOJ regulations.
IM impact: Are you accounting for emerging instant messaging channels?
Communications compliance persists as a regulatory focus area - but, amid a landscape of fast-emerging instant messaging applications, are firms treating IM platforms as a compliance priority?
CIRO’s 2025 Compliance Playbook: Navigating cybersecurity, third-party risks, and social media rules
CIRO's 2025 Annual Report reveals it's priorities for the year ahead, namely a focus on cybersecurity, third-party risk and social media.
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.
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.
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?
Global Relay Data Insights: Communication Capture Trends in 2024/25
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.
Regulatory Wrap Episode #45: FCA Cracks Down on Illegal Financial Promotions
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.