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

Are Financial advisors really less trustworthy than Uber drivers?

“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

Bad compliance is expensive unless you’ve got $1 million to throw away

  Ooooooh. This story has a painful ending…
April 6, 2016

Technology is key to CCOs keeping a seat at the management table

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 13, 2016

Bad things happen when your reps don’t keep you in the loop…

…but you knew that.
April 21, 2016

We want you to sleep better at night! Announcing Patrina Compliance News

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 […]