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!

June 1, 2016

Are you a social media NIKE or knock-off?

Just DON’T do it! That’s the social media motto for Chief Compliance Officers (CCOs) in virtually every arena of the heavily regulated financial services universe.
June 8, 2016

Hiring rogue brokers…Regulators are watching you!

Rogue brokers (and the firms that hire you) watch out…your world is getting smaller (and more regulated).
June 15, 2016

Futures Commission Merchants blame compliance costs for closures and consolidation

The Commodity Futures Trading Commission (CFTC) worries that consolidation among futures commission merchants (FCMs) signals the beginning of a slide down a slippery slope.
June 22, 2016

Failed to track pesky OBAs? FINRA’s not laughing!

“Not good enough” cost $200,000 in FINRA fines
June 29, 2016

What keeps Investment Adviser Association members up at night?

According to the Investment Adviser Association’s (IAA) 2016 Investment Management Compliance Testing Survey (conducted in conjunction with ACA Compliance Group and OMAN), the cost of compliance, […]
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