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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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Compliance

To Text or Not to Text? The Hidden Dangers of a “No-Texting” Policy.
By Global Relay on July 28, 2020

In December 1992, the world’s first ever text message (“Merry Christmas”) was sent by a British engineer from his computer to an Orbitel 901 mobile phone owned by a Director of Vodafone....

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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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