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!

March 4, 2016

‘Tis the Season for Political Contributions, But…

We’re already hip deep into the US primary season. For those living in polling states, it may seem like political ads have taken over your television […]
March 4, 2016

CFPB Fines Dwolla for Data Security Practices Deception…Oops!

The moral of this story: If you say you are going to do something, you better well do it!”   Such wasn’t the case for online […]
March 9, 2016

SIFMA Panel Says Social Media Matters, So Get Your Team Onboard

What your firm, your branch offices, your members post in social media matters. That’s the consensus at a recent Securities Industry and Financial Markets Association seminar […]
March 15, 2016

IAA Cautions New SEC Rule will Increase Your Compliance Costs

A recent blog posted by Investment Adviser Association (IAA) General Counsel Bob Grohowski and Assistant General Counsel Sanjay Lamba warns that managing the rising cost of […]
March 21, 2016

Baking Compliance into Firm Culture

  One recurring complaint often heard from the compliance community is that compliance is considered a simple cost center. Boards of directors and senior leadership teams […]