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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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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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Compliance

JPMorgan’s Record Spoofing Settlement Spotlights Dangers of Ineffective Supervision Policies
By Global Relay on October 2, 2020

JPMorgan Chase was slapped with a $920 million mega-fine after the US bank failed to detect a group of employees manipulating markets by trade spoofing, underscoring the huge risks...

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Compliance

Tips and tricks for building and refining effective policies
By Global Relay on August 20, 2020

Are your supervision policies failing to capture the right content for review? Are your custom policies drowning your reviewers in irrelevant messages?

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