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!

August 10, 2016

The terror of instant messaging — misconduct in real-time

It wasn’t that long ago that social media and instant messaging were totally verboten. Financial services professionals fretted that the absolute ban on these speedy forms […]
August 17, 2016

The SEC and the rest of the regulator alphabet want your records…NOW!

Where’s your stuff? In a file room? Off-site storeroom? In the cloud? Are you still shuffling paper? Or glued to your computer screen scrolling through file […]
August 24, 2016

When bad things happen, do you have a backup plan?

Face it! Stuff happens. Floods in Louisiana this summer. Fires in California and the northwest. Brownouts. Blackouts. Acts of…bad people?
August 31, 2016

FINRA depends on your Back Office A$$essment

Ahhhhhhhhh. Labor Day. School’s back in session. The smell of autumn in the air. And…the regulators stepping up the pace of branch assessments. Are you ready?
September 7, 2016

FINRA to Deutsche Bank Securities: “Haben Sie $12.5 Million?

Are you supervising your “hoots” and “squawks?” Nooooooo…This NOT is a cautionary tale about how broker-dealers, RIAs, FSAs and others in financial services spent the summer […]
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