SEC 2026 Exam Priorities: The “New Core” for Advisors & Broker-Dealers
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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Perspectives on recordkeeping, supervision, and the everyday work of financial services.
9 articles
The latest from Patrina
Ideas and practical perspectives
for a changing industry.
Archiving Isn’t Enough Anymore: Why Regulators Now Expect Proof of Supervision
For years, many firms have treated recordkeeping as a storage problem. If the records existed and were somewhere in the system, the assumption was that…
Top CRM Challenges Financial Advisors Must Overcome And How to Fix Them
A CRM can be the heartbeat of a financial advisory practice or a constant source of friction. For many firms, the problem isn’t the lack…
The Rise of AI in Financial Advisory
Artificial Intelligence (AI) is changing almost every industry, including financial services. Clients now expect quick responses, personalized advice, and smarter financial choices. Advisors can no…
Crafting A Client Retention Strategy: Best Practices for Financial Planners
Building strong, lasting relationships is at the heart of financial advising. Every successful advisor knows that earning a client’s trust is just the beginning; the…
CRM Trends 2025: Navigating the Future of Customer Relationships
AI is heavily influencing current trends in CRM. Businesses are increasingly using AI-powered tools to automate repetitive tasks, gain insights from data, and make more…
CRM Integration Strategies for Companies
Disconnected tools, scattered data, and clunky processes, does that sound familiar? Without a well-integrated system, even the most powerful CRM can feel like just another…
CRM Best Practices for Your Business
Feeling the pressure of growing client demands, complex compliance rules, and scattered client data? A correctly configured CRM could be your firm's most powerful tool.…
CRM Requirements Checklist for Financial Advisors
Choosing the right CRM isn't just a software decision; it's a business-critical one. It shapes how your financial advisory firm builds client relationships, ensures compliance,…
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