Global Relay news and milestones

If there were a prediction market for potential changes to Securities and Exchange Commission (SEC) rulemaking, what would the odds look like? With Chairman Paul Atkins expressin…

In brief: What it is: the monitoring of trading activity - orders and transactions - to detect and prevent market abuse and manipulative behavior. Why it matters: firms are requi…

In brief: WhatsApp is not inherently prohibited in financial services. The compliance risk arises when employees use it for business without the firm being able to govern, captur…

In brief: A Suspicious Transaction and Order Report, or STOR, is submitted to the Financial Conduct Authority when a UK trading venue or person professionally arranging or execut…

In brief: The FCA Fit and Proper test is the framework used by firms and regulators to decide whether an individual is suitable to perform a particular regulated role. QuestionPr…

In brief: Rule 204-2 is the SEC books-and-records rule requiring registered investment advisers to create and preserve specified records relating to their advisory business on a…

In brief: MiFIR transaction reporting requires in-scope investment firms to provide competent authorities with complete and accurate details of reportable transactions. Reports m…

In brief: The FCA Conduct Rules are minimum standards of individual behavior for people working in regulated financial services. They are contained in the FCA Handbook's Code of…

In brief: Communications archiving preserves business communications as records. Digital communications governance is the wider framework used to control how channels are approve…

With EU electricity prices rising by 36% in the five-year period between 2019 and 2024, many households are feeling the strain. REMIT is the regulation designed to maintain compe…

In brief: Physical device seizure slows investigations by sidelining employees for weeks, introducing risk at every handoff, and capturing personal data that adds unnecessary rev…

On November 13, 2024, the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) issued Alert FIN-2024-Alert004, warning financial institutions that frau…

FINRA 2210 governs how broker-dealers communicate with the public, from customer emails to website content, social media rules and, increasingly, AI-generated content. On July 9…

In brief: A perennial challenge for compliance teams is staying ahead of emerging technologies and the risks they may present Compliance functions must balance known legacy risk…

In this episode of Regulatory Unwrapped, experts Britt Johnston, Managing Director, Head of Conduct and Culture, Europe, Natixis, and Rob Mason, Director of Regulatory Intelligen…

Regulators have changed the question. It's no longer enough to have a surveillance system. Firms are now expected to prove it works: that their models are explainable, tested, ca…

Off-channel communications are business-related messages sent outside a firm's approved, captured channels, e.g. a trade discussed over WhatsApp, a client instruction sent by per…

In brief: The Financial Conduct Authority has shared the results of a multi-firm review into the impact of "frontier AI" on resilience The regulator has warned that these technol…

In brief: Finanstilsynet (Danish FSA) has warned that advanced frontier AI models are helping bad actors find and exploit IT vulnerabilities faster and at greater scale The warni…

Mobile device management has become a compliance minefield. Your team needs to capture conversations completely, across fragmented channels, without placing undue constraints on…

A proof of concept (POC) is the testing ground where a vendor's promise is measured against your organization's reality. While valuable, the slightest misalignment can invalidate…

In brief: AI adoption is accelerating, with firms steadily moving from pilot to production phases - though regulators are still determining the best approach to maintaining effec…

In brief: CIRO's 2026 Enforcement Report shows individual case volume falling for a third straight year, even as firm-level fines hit a three-year high of $8.69 million Documenta…

In brief: What it is: firms' obligation to capture, retain, and produce their business records, including electronic communications, in a complete, accurate, and tamperproof arch…

In brief: What it is: the practice of capturing, supervising, and governing an organization's business communications to meet regulatory, legal, and risk obligations. Why it matt…

In brief: What it is: the use of AI technologies, like machine learning and large language models, to detect conduct and market-abuse risk in communications and trading surveilla…

In brief: What it is: business communication that takes place on a channel the firm does not capture, typically personal devices and unapproved apps such as WhatsApp, iMessage, S…

In brief: What it is: the proactive monitoring of business communications to detect conduct, compliance, and market-abuse risk. Also called eComms surveillance or communications…

In brief: What it is: workplace behavior such as bullying, harassment, discrimination, and violence is treated by the FCA as a conduct issue, not just an HR matter. What's changi…

In brief: Data sovereignty is now a board-level priority for Nordic firms, under GDPR and DORA, organizations must know exactly where their data resides and who can access it, es…

In brief: As regulators reinforce efforts to deter financial crime, they have highlighted that the supervision of business activities, including business communications, remains…

In brief: Regulators and authorities such as ASIC and the IMF have issued statements warning firms that evolving AI models can elevate cyber risk and identify security vulnerabil…

In this episode of Regulatory Unwrapped, we sit down with Nathan Willmott, Partner at Ashurst, and Global Relay's Director of Regulatory Intelligence, Rob Mason, to dissect the F…

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