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!

September 15, 2016

SEC says hire a bad apple, we’ll chop down your tree!

Okay. The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (CIE) didn’t use those exact words…But in its September 2016 Risk Alert, it […]
September 21, 2016

Gee whiz! Fraudulent marketing cost one “whiz kid” $1.5 million

What do your marketing materials say? Anything the regulators could find actionable? Maybe…?
September 28, 2016

Insider traders eat evidence. Pay $3+ million. Go to prison.

Are Post-it notes the new “breakfast of champions?”
October 6, 2016

Another bad apple bites the dust and pays $3.2 million in fines

It’s been a difficult fall season for bad actors acting badly and for those who hire them.
October 12, 2016

No future for a commodity futures fraudster

Does it sometimes feel like the compliance world is always under attack by an endless stream of self-propagating fraudsters? Where are our crime-fighting superheroes?