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Chip Jones

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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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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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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Compliance

SEC 2021 Examination Priorities: Reg BI, Operational Resilience, and a Question of Resources
By Chip Jones on March 10, 2021

The U.S Securities and Exchange Commission released its Division of Exams 2021 Examination Priorities last week, outlining the key risks, trends and examination priorities for the year...

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