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!

April 27, 2016

The CFB Board censures bad CFPs…

  …Are you next? To borrow the motto of the Boy Scouts of America: Be prepared.
May 4, 2016

Are you tweeting? The world is and the regulators are watching…

How’s that Snapchat app working for you? In a recently published whitepaper in ComplianceWeek, Blue Hill Research Principal Analyst David Houlihan, Esq. noted that the growth […]
May 11, 2016

Will outside business activities land you in jail?

What started out as a simple favor to a friend, ended up with a FINRA suspension, and a 15-month Federal jail sentence. How could things go […]
May 18, 2016

Poor oversight cost Stephens Inc. $900,000…Compliance is so much cheaper!

If you’ve got money to burn, do something with it! Build a bonfire, give it to charity, or…you can do what Stephens Inc. did, give it […]
May 25, 2016

The SEC takes a fresh look at Security-based Swaps

Look who’s under the Securities and Exchange Commission (SEC) microscope now!