Compliance News

The Patrina Newsroom

Staying up to date with the changes and developing trends in the world of compliance is vital to reducing your exposure to risk and non-compliance. Each week our team searches for topics that are important to our regulatory environment and creates articles that will inform and educate our readers. Our intent is not to single out any businesses because of their lack of oversight, but to merely keep our readers abreast of the developing trends in regulatory compliance. Staying out of the regulators’ crosshairs is challenging and we hope the articles we share are informative and help you to strength your compliance initiatives.

Your thoughts and comments are greatly appreciated!

January 20, 2016

What the SEC will be looking at this year…

The Securities and Exchange Commission is going to cast a wider net this year. According to the Office of Compliance Inspections and Examinations (OCIE) Director Marc […]
January 26, 2016

Messy WSPs cost Archipelago Trading Services $100K.

What Will Your WSPs Cost You? How much more paperwork can you take on? It’s a given that broker-Dealers, RIAs, and FCMs must create, implement, maintain, […]
February 2, 2016

New Municipal Securities Rulemaking Board Rule Focuses on Good Conduct

The Securities and Exchange Commission (SEC) has approved a new Municipal Securities Rulemaking Board (MSRB) Rule G-42 establishing “core standards of conduct for municipal advisors that […]
February 9, 2016

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

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 […]
February 17, 2016

Hey Hedge Fund Manager…Regulators Are Watching You!

  Citing increased scrutiny of hedge fund managers post-2008, the Alternative Investment Management Association (AIMA) has published its first guidelines focusing on operational risk management processes […]