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Records Retention, SEC Compliance

SEC Wall Street Inquiry a Forewarning to Financial Firms on Employee Supervision
By Chip Jones on October 18, 2021

Last week, an inquiry opened by the U.S. Securities and Exchange Commission (SEC) into how a number of Wall Street banks are keeping track of their employee communications grabbed...

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A Q&A with Chip Jones
By Global Relay on October 1, 2021

After 20 years supporting its member Broker-Dealers at FINRA, Chip Jones knows a thing or two about compliance. Here, after nearly a year with Global Relay as its Executive Vice...

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FINRA Report Timely Amid Diverse Cloud-Based Options for Advisors
By Chip Jones on August 23, 2021

FINRA's Best Practice Advice is Timely Amid More Prevalent Cloud-Based Strategies for Advisors

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Global Relay Announces Launch of New Website
By Global Relay on July 1, 2021

We are delighted to announce the launch of our brand new website.

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Compliance, Policy Management

Regulators Are Honing Their Rules To Enable And Protect Whistleblowers
By Donald McElligott on June 23, 2021

Today marks World Whistleblowers Day. Now in its fifth year, its purpose is to raise public and organizational awareness about the important role whistleblowers have in combating...

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Compliance, Social media

How Financial Firms Can Maximize Social Media Use While Minimizing Risks
By Chip Jones on June 4, 2021

As more financial firms use social media to reach and engage with customers, regulators including the SEC and FINRA still require that they preserve social media posts and...

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