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Compliance, ESG

Fund Managers Should Pay Attention To Warning Signals From COP26
By Alex Viall on November 19, 2021

 

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Market Abuse Risk in Rates and Fixed Income Markets
By Alex Viall on November 17, 2021

The UK Financial Conduct Authority (FCA) just released the latest issue of Market Watch, its regular newsletter on market conduct and trade reporting. Issue 68 focuses on gaps in...

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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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A Q&A with Chip Jones
By Global Relay on October 1, 2021

After 20 years supporting its member Broker-Dealers at FINRA, Chip Jones knows a thing or two about compliance. Here, after nearly a year with Global Relay as its Executive Vice...

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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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