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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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Global Relay Announces Launch of New Website
By Global Relay on July 1, 2021

We are delighted to announce the launch of our brand new website.

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Compliance, Policy Management

Regulators Are Honing Their Rules To Enable And Protect Whistleblowers
By Donald McElligott on June 23, 2021

Today marks World Whistleblowers Day. Now in its fifth year, its purpose is to raise public and organizational awareness about the important role whistleblowers have in combating...

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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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Gartner Recognition

Global Relay: Gartner Magic Quadrant Leader for Enterprise Information Archiving for Eight Years in a Row
By Global Relay on November 30, 2020

For the eighth consecutive year, Global Relay has been recognized as a ‘Leader’ in the Gartner Magic Quadrant for Enterprise Information Archiving (EIA). Gartner, a leading research and...

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