Expert Insight: A Look Ahead with Chip Jones

Presented by

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

About this talk

Last year, despite pivoting to remote working due to COVID-19, financial firms demonstrated their ability to remain efficient, productive, and compliant. Regulators, for their part, showed a remarkable willingness to provide temporary relief to firms – even amending some of their requirements to facilitate and increase compliance. What’s next for the finance industry, especially when we return to some degree of normalcy? Will regulators be as flexible and open-minded in 2021 as they were last year? What effect can a Democrat-controlled SEC potentially have on securities regulations? Join Global Relay’s Chip Jones, Executive Vice President-Compliance, and Donald McElligott, Vice President-Compliance Supervision, as they look at what’s in store for the finance industry in 2021. Special guest Paul Dean, Global Relay’s Director-Analytics & AI, will also share his thoughts on AI’s impact on the compliance world. Chip and Don will talk about: ▪ The sustainability of remote work for financial professionals ▪ Regulators’ response to pandemic effects ▪ Consolidations prompted by the pandemic ▪ Democrat-controlled SEC’s impact on securities regulations

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Global Relay (www.globalrelay.com) 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 connect@globalrelay.net