FINRA, NASSA, SEC, MSRB, etc…an alphabet soup of regulators want to eat your lunch!

New Municipal Securities Rulemaking Board Rule Focuses on Good Conduct
February 2, 2016
Hey Hedge Fund Manager…Regulators Are Watching You!
February 17, 2016

2016 is shaping up to be a big year for the regulators. And they all want a piece of you.

So when the regulators call, will you be ready?

It seems as though every regulatory body — from the Municipal Securities Rulemaking Board (MSRB) to the Financial Industry Regulatory Authority (FINRA) to the Security and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), and others, is pulling out the regulatory compliance stops to keep the world safe from a few bad actors.

What does that increased oversight mean for you?

It’s pretty obvious.

More work.

More oversight.

More delivering information on demand to the regulator de jour.

How will you keep track of it all?

If you’re like most of Chief Compliance Officers, you and your compliance team are pretty busy juggling a mismatched jigsaw puzzle of compliance systems. One to archive your data, one to track your electronic communications, another to monitor your branches…Are you tired yet?

You should be. It takes only one dropped ball or one misreported item to generate really BIG trouble, to the tune of hundreds of thousands of dollars in fines and penalties. Not to mention the time you and your compliance team lose tracking down minutia.

Why be that firm, when Patrina makes compliance so easy and cost-effective

Stop juggling multiple systems to manage the core of your non-trading compliance. Patrina’s Integrated Compliance Suite is designed for Broker-Dealers, RIAs, and FCMS. A single, powerfully integrated platform, Patrina automates workflow and delivers a 360o view of your entire non-trading compliance program. One platform to build and maintain a culture of compliance.

Built on the industry’s easiest-to-use interface, Patrina’s 8 powerful modules systematize and manage your firm’s:

Patrina’s Integrated Dashboard delivers

Patrina Integrated Dashboard delivers high-level reviews of all your compliance processes and procedures — whenever and wherever you need it. Get top line and in-depth views of:

  • Compliance officer activity level
  • Status of Branch Office Audits
  • Outstanding tasks and their assignments
  • Issues that require immediate CCO attention
  • Marketing material awaiting approval
  • Calendar of upcoming compliance events

It’s that simple. Point. Click. Compliance.

So, when the regulators call, will you be ready?

There’s no question, regulatory compliance requirements are getting more all-consuming. Complying is an undertaking without end and now, the alphabet soup of regulators wants you to do more of it. When will you find the time to do your real work? Let’s talk. Ask about Patrina’s comprehensive compliance solutions specifically designed for the financial services community.

Sign up for a 15-minute demo and I’ll add 3 months FREE to your first year’s subscription and onboard you for FREE!

Let’s talk (212- 233-1155) or email Mark Opila at mopila@patrina.com to schedule your demo now if your need is more urgent.

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