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With a changing of the regulatory guard, what are the implications for U.S. off-channel communications?
Susannah Hammond explores what recent changes at the SEC might mean for U.S off-channel communications and recordkeeping enforcements.
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.
Commonwealth Financial Network chooses Global Relay for integrated, scalable compliance
Find out why Commonwealth Financial Network chose Global Relay's trusted, scalable compliance solution.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
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.
A new frontier for recordkeeping and surveillance teams
As data comprehensiveness becomes mission critical, the intersection between recordkeeping and surveillance is more important than ever.
On Demand: Compliance & Conversation – Recordkeeping and surveillance
Watch on demand as a panel of compliance and surveillance experts discuss trends including AI, social media, and culture and conduct risks.
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.
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.
You’ve (not) got mail – FCA criticized for 12-month email deletion policy
The Financial Conduct Authority’s decision to adopt a policy of deleting “unnecessary” staff emails after 12 months has received criticism, with commenters suggesting it is “one rule for the regulator and another for the regulated.”