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The Archiving Think Tank

About The Archiving Think Tank

We want this area of our website to be where conversations are started. At Patrina, our team always has so much to share, drawing from both our experience, and our daily work. Data archiving has changed considerably over the past decades, and many of us have been in this industry throughout all the technology and process advances. Our first hand overview also enables us to peer into the future, and with that vision, Patrina thought leaders can clearly anticipate what future data management needs and challenges will be. We are always seeking new ways to enhance your business, conserve your resources, and enable you to operate with the highest efficiency. It's the power of technology used best. We see the past as the foundation of today, while looking straight ahead to tomorrow. That's Patrina - and that's the essence of the conversation we will express in all our blog posts, articles and announcements. Please be part of the story and engage with us. We anticipate hearing your thoughts.

March 15, 2017

The new gender challenge

Male advisors do more bad things, but female advisors face stiffer punishments Who knew there was a double standard for misbehaving financial advisors? Surprise!
March 8, 2017

SEC budget cuts don’t necessarily mean less enforcement

It’s belt-tightening time at the Securities & Exchange Commission’s (SEC’s) enforcement unit. Early indication was that when Wall Street bond deal-makers convened at their annual reunion […]
March 1, 2017

The IAA cites data and information security as top compliance concern

Safeguarding critical information remains the top compliance concern for federally registered investment advisors. That’s according to the 11th annual Investment Advisor Association (IAA) survey of members. […]
February 22, 2017

12 firms pay FINRA $14.4 million for WORM-less books and records

It was a bad winter for 12 firms fined a total of $14.4 million for significant deficiencies related to the preservation of broker-dealer and customer records […]
February 15, 2017

The SEC’s 5 biggest peeves

Last week, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) highlighted its five biggest noncompliance peeves which result in deficiency letters.
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