You know that because you are here reading this. Every day the regulators issue new rulings, levy new fines, and seek out new, nearly invisible chinks in the industry's compliance processes and procedures. Knowledge is power. You know that too, because the more you know about what the regulators are looking for and what others in the industry are doing to minimize exposure, the better equipped you are to strengthen your own strong cultures of compliance.
Patrina in the NewsForewarned is forearmed. Patrina Compliance News is yours. Free. Because Patrina is the industry's compliance solutions advocate. Advisornews.com - Mark Opila, Patrina Corp. CEO on why Trump Can’t Make Regulation Pressure on RIAs Go Away Naaim.org - Mark Opila, Patrina Corp. CEO on Hefty Fines...Should you really consider them just another cost of doing business? WealthManagement.com - Mark Opila, Patrina Corp. COO on Baking Compliance into Firm Culture Accounting Web - Industry Newsletters - Mark Opila, Patrina Corp. COO on Thinking Compliance - Staying on the Straight and Narrow
Executive Impersonation A Growing Threat...