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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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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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Compliance, Message Archiving

The Next Big Step in Financial Compliance: A Compliant Messaging Solution
By Guy Trotter on October 3, 2016

The shift to electronic messaging as a preferred form of business communication is not limited to email. Text messaging, social media, and instant messaging have become increasingly...

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Compliance

Filtering the noise: Best Practices to Ensure Efficient Compliance Reviewing
By Donald McElligott on April 25, 2016

As a compliance officer, your job is to make sure your colleagues’ communications are in line with regulations. But with so much communication to supervise, how do you differentiate what...

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Compliance, Government

Should governments be subject to message archiving? - Part 2
By Donald McElligott on January 27, 2015

In the early days of the 21st century, the financial industry was rocked by a series of massive scandals. Among the most prominent were the meltdown of Enron, the subsequent criminal...

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