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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...

1 year ago 22 mins

Understanding Regulation Best Interest (Reg BI)

Donald McElligott, VP Compliance, Global Relay; Robert Lavigne, Managing Director, Bates Compliance

Effective from June 30th 2020, the US SEC (Securities and Exchange Commission) Regulation Best Interest (Reg BI) rules mean that broker-dealers will b...

3 years ago 49 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...

3 years ago 44 mins

SEC Advertising Rules: Guidance on Proposed Amendments

Don McElligott, VP Compliance, Global Relay; Max Mejiborsky, Senior Consultant, NRS

On November 4, 2019 SEC issued a set of proposed amendments to its advertising, for the first time since the rules were adopted in 1961. Join this w...

3 years ago 29 mins

REG BI -120 Days On

Donald McElligott, VP Compliance, Global Relay; Hank Sanchez and Robert Lavigne, Managing Directors, Bates Compliance

In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the...

3 years ago 43 mins

Should Social Media Be Part of Your Information Governance Strategy?

Tom Mighell, VP Service Delivery, Contoural

Corporate pressures to use social and other types of newer media continues to build. Part of the business sees using social media as an indispensable ...

6 years ago 61 mins

Expert Insight: A Look Ahead with Chip Jones

Chip Jones, EVP Compliance, Global Relay; Donald McElligott, VP Compliance, Global Relay

Last year, despite pivoting to remote working due to COVID-19, financial firms demonstrated their ability to remain efficient, productive, and complia...

3 years ago 32 mins

Top 5 Compliance Predictions for 2017

Robert Cruz, Senior Director Information Governance, Actiance and Jasmine Wu, Director of Product Marketing, Actiance

2016 was an eventful year for those who need to stay on top of compliance. The SEC undertook 868 enforcement actions totaling over $4B in sanctions, w...

6 years ago 53 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

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