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!

July 7, 2016

What if you have no books or records?

This cautionary tale must be filed under the heading, “You can’t make this stuff up!”
July 12, 2016

Patrina is a 2016 Wealth Management.com Industry Award Finalist!

To paraphrase Oscar Award Winner Sally Fields, “They like us! They really like us!”
July 20, 2016

Barclay’s Folly, or how poor WSPs can cost you $600,000

It’s going to be a long, hot, summer for Barclays Capital Inc. Just this month, the firm submitted a Letter of Acceptance, Waiver, and Consent to […]
July 27, 2016

Poor oversight cost Prudential Annuity nearly $1 million

It’s not even the dog days of August and yet another big firm is paying FINRA big hot fines resulting from poor branch oversight.
August 4, 2016

The CFTC and Federal Court are HOT!

Value Options Ltd. and Global Trader 365 banned and fined a cool $4.5 million-plus  Was no one watching when Vault Options, Ltd. and Global Trader 365 […]
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