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 23, 2016
“Yes,” say researchers from the University of Minnesota (Mark Egan) and the University of Chicago (Gregor Matvos and Amit Seru), who constructed the first large-scale study […]
March 30, 2016
Ooooooh. This story has a painful ending…
April 6, 2016
A new survey by Accenture on compliance risk, (Compliance at a Crossroads: One Step Forward, Two Steps Back?) further highlights the challenges Chief Compliance Officers (CCOs) […]
April 21, 2016
What keeps you up at night? Whether you’re the head of your company or head compliance at a Broker-Dealer, RIA or FCM, you’ve got a […]