Search results Search for: Search Refine your results by duration: Any Under 5 mins Under 20 mins Over 20 mins Sort by: Relevance Views Date Cyber Compliance: SEC Regulatory Readiness in 20 mins Wiley Asher, Sr. Customer Success Manager - Entreda The SEC is brewing up a “double espresso” shot of cybersecurity regulations that are sure to wake-up the registered investment adviser and fund commun... 11 months ago | 22 mins How to Manage eTrading in a Compliant and Efficient Way Remington Jarvis (Global Relay), Vincenzo Dimase (Refinitiv) Join Refinitiv, in partnership with Global Relay, for the second episode of the Refinitiv Compliance Archive three-part webinar series which looks at ... 3 years ago | 53 mins Data Migration Success: Expert Insights from Reed Smith's Anthony J Diana Bo Nelson, Legal & eDiscovery Lead, Global Relay | Anthony J Diana, Partner, Reed Smith What does successful ecomms data migration look like? What should you consider migrating, and what are the legal requirements involved? Anthony J Di... 2 years ago | 44 mins Where is the data? Workplace Investigations in the New World of Messaging Bo Nelson, Global Relay, Robert Kelso and Phil Knox, Forensic Pursuit Cases involving bullying, harassment, corporate data leaks, and intellectual property theft committed via workplace communication, and more recently a... 2 years ago | 45 mins A compliant 360-degree view of your client Dominic Snell, Director of Consulting, Wealth Dynamix Compliance teams within wealth management firms have to deal with, on average, 220 regulatory alerts a day according to the 2019 Thomson Reuters Cost ... 3 years ago | 31 mins Case Study: How to Manage Policies for Business Continuity and Remote Working Agnes Filocha, Deputy Compliance Officer, Amundi Pioneer Distributor, and Donald McElligott, VP Compliance, Global Relay With regulators warning that financial services firms must maintain effective supervision, including recording certain types of communications, having... 3 years ago | 44 mins 6 Best Practices for Slack eDiscovery & Legal Hold David Farris, Information Governance Lead, Global Relay, Bo Nelson, Legal & eDiscovery Lead, Global Relay More than 65% of Fortune 100 firms use Slack, along with more than 12 million people worldwide who depend on it daily to collaborate with customers an... 3 years ago | 31 mins FINRA Regulatory Update: New Rules & Prior Initiatives Donald McElligott, VP Compliance, Global Relay According to a study by global law firm Eversheds Sutherland, FINRA fines have fallen for three years in a row. While that means firms might have some... 3 years ago | 21 mins Financial Services Compliance: The Hidden Dangers of a No-Texting Policy Matis Jasicek, Regional Director; Donald McElligott, VP Compliance; Jill Lee, Community Specialist at Global Relay Mobile phone usage is at an all-time high. Texting has become essential for financial services firms to engage effectively with clients, and boost loy... 3 years ago | 33 mins The Compliance Officer's Guide to Financial Services Policy Management Donald McElligott, VP Compliance, Global Relay Join this webinar to learn best practice approaches to building and refining financial services eComms policies. Presented as a workshop for Complian... 3 years ago | 36 mins
