Messaging Complinace in a Shifting Regulatory Landscape: Part 1- The Future is Now: U.S. Regulatory Compliance

Is messaging compliance giving your compliance function headaches? Welcome to a special 5 part podcast post series, messaging compliance in a shifting regulatory landscape, sponsored by Global Relay. Over this series I will visit with Chip Jones Executive Vice President, Compliance and Business Development at Global Relay;  Alex Viall, Director, Regulatory Intelligence at Global Relay; Rob Mason, Director, Regulatory Intelligence at Global Relay; Jennie Clarke, Head of Content at Global Relay; and Raewyn Danvers, Sales Manager in Business Development for the Global Relay App. Over this series, we will consider the the US and UK regulartory framework for messaging apps, consider if business innovation being stifled by regulatory action, preview the Global Relay Report: Compliant Communications in 2023, and look down the road on how to stay Ahead of regulation with the compliant communications in one app. In this Part 1, I visit with Chip Jones on the current US regulatory landscape for messaging apps. 

In this first episode in a 5-part series, Tom visits with  Chip Jones, Executive VP of Compliance and Business Development at Global Relay. They discuss the challenges of maintaining communication compliance in various industries, with a focus on off-channel communications, particularly in the financial services industry. Chip shares insights on the recent collective settlement issued by the SEC, which sends a clear message to firms about the importance of adhering to internal policies on communication retention and supervision. Learn about how Global Relay is helping firms monitor their communications to detect fraudulent activities and avoid compliance issues. Don't miss this informative podcast, which ends with a teaser for the next episode on the impact of regulatory action on business innovation. 

Key Highlights

·      The Challenges of Regulatory Compliance in the US

·      SEC enforcement actions on communication violations

·      Monitoring Electronic Communications in Financial Services

·      Off-channel Communications Consequences

For more information go to Global Relay.

Join us in our next episode where we ask the question: Is business innovation being stifled by regulatory action?