The Compliance Officer's Guide to Financial Services Policy Management

Presented by

Donald McElligott, VP Compliance, Global Relay

About this talk

Join this webinar to learn best practice approaches to building and refining financial services eComms policies. Presented as a workshop for Compliance Officers, and using trade spoofing as an example, learn how to: - Build a policy - Refine a policy - Avoid common pitfalls
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Global Relay ( is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at