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SEC Compliance

SEC Advertising Rules: Guidance on Proposed Amendments
By Global Relay on September 17, 2020

Attracting new prospects—or even retaining existing clients—could be about to get trickier as the SEC proposes the first changes to its advertising rules for investment advisors since...

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Policy Management

Business Continuity: The Critical Role of Policy Management
By Global Relay on September 15, 2020

When the coronavirus pandemic forced governments around the world to impose lockdowns, businesses scrambled to adapt almost overnight.

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Mobile Archiving and Compliance

When No-Texting Policy Impacts Client Experience it’s Time to Get Compliant
By Global Relay on August 25, 2020

Imagine you’re sitting in a coffee shop and a client sends you a text message asking you a simple question. You know the answer, but you don’t respond because your firm has a strict...

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Compliance

Tips and tricks for building and refining effective policies
By Global Relay on August 20, 2020

Are your supervision policies failing to capture the right content for review? Are your custom policies drowning your reviewers in irrelevant messages?

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Compliance

Beyond COVID-19: The ‘Next Normal’ for Financial Services Regulation
By Global Relay on August 11, 2020

Financial services regulation transformed dramatically post-2008, in an attempt to avoid a recurrence of the financial markets collapse and protect the interests of financial services...

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FINRA Compliance

FINRA Enforcement Trends: Webinar Highlights
By Global Relay on August 3, 2020

Here’s a question for you… Are advisers and brokers becoming more disciplined—or are regulators becoming a softer touch? 

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