Your go-to source for the latest in archiving news and Global Relay developments

Stay Connected With Us

Global Relay

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? 

Continue Reading


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....

Continue Reading


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,...

Continue Reading


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.

Continue Reading

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...

Continue Reading

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?

Continue Reading