AI/ Technology

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.

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.

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.

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.

The Conduct Chronicles – ‘Lessons from the Farage Bank Account Furore’

Emma Parry reviews the Farage bank closure as a signal for banks to ensure they have proper data retention tools in place, clear rationales and compliance with Consumer Duty obligations to ensure they are prepared for any regulator investigations and good consumer outcomes.

Global Relay named a Leader in 2025 Gartner® Magic Quadrant

Recognized for Completeness of Vision and Ability to Execute

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.

Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report

In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.

Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights

In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.

On Demand: Is conduct and culture the next regulatory priority?

Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.

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