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Compliance

How to avoid FINRA enforcement fines in 2020
By Global Relay on July 6, 2020

When FINRA ordered Merrill Lynch to pay $7.2 million in restitution and interest to clients in early June, to settle allegations that Merrill had overcharged them on mutual fund sales,...

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e-Discovery

How to protect your business from growing eComms risk
By Global Relay on July 2, 2020

If you weren’t using collaboration platforms very much before the coronavirus pandemic hit, chances are you are now.

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Regulatory Update

What Is Reg BI?
By Global Relay on June 26, 2020

Effective from June 30th 2020, the US Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) rules mean that broker-dealers will be bound by law to put their...

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communication technology

Be there, even when you are not there. Building relationships in a remote environment
By Global Relay on May 25, 2020

Remote working has created new opportunities to engage your network in ways not imagined before. How are you engaging with your clients and peers during this disruptive period?

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communication technology

Remote Working: Top 10 Tips for Ensuring Secure and Compliant Communications
By Global Relay on May 7, 2020

The COVID-19 pandemic has transformed how we communicate and collaborate. Almost overnight, the entire working population became home workers, and global demand for instant messaging,...

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communication technology

How can you regain control of messaging compliance?
By Global Relay on March 25, 2020

In January, when we were awash with “2020 predictions”, no-one forecast that just twelve weeks later we would see financial services regulators, far and wide, relax requirements that are...

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