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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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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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