PATRINA
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Chief Executive Officer, Patrina
Mark Opila leads Patrina's executive team, corporate vision and strategy. His published biography describes earlier Patrina operations and sales leadership roles and experience at NTT Verio.
Ideas and practical perspectives
for a changing industry.
Introduction — Most Compliance Failures Don’t Start With Bad Policies During an SEC exam, a registered investment adviser was asked to walk through the firm's…
Introduction: More Monitoring Hasn’t Meant Better Oversight A compliance officer at a mid-size broker-dealer recently described her Monday morning routine: triage roughly 1,200 surveillance alerts…
Introduction: The Market No Longer Closes For years, firms operated within a structure that felt stable enough not to question. Trading happened within defined hours,…
Introduction — The Same Risks Keep Showing Up If you spend even a short amount of time reviewing recent enforcement actions, a pattern begins to…
Introduction — The Remote Work Experiment Is Over For a period during the pandemic, remote supervision was treated as a temporary accommodation. Regulators allowed firms…
Introduction — AI Is No Longer a Hypothetical Risk A year ago, most firms treated generative AI as an emerging technology issue. Advisors experimented with…
Why communication capture, supervisory review, and everyday workflows all matter to a defensible recordkeeping posture.
Introduction – Privacy Rules Used to Be About Paper For years, Regulation S-P was treated as a disclosure exercise. Firms drafted privacy notices, updated policy…
Exams Aren’t Episodic Anymore For decades, SEC exams followed a predictable rhythm. Firms treated them like events, something you prepared for in waves. Policies were…
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