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!

October 19, 2016

More rules lead to more expectations

Earlier this summer, Lynnette Kelly, executive director of the Municipal Securities Rulemaking Board (MSRB) spoke to the National Association of State Treasurers about the “New Rules […]
October 26, 2016

Is there anyone out there doing the right thing?

FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books, and Records, and Related Supervisory Violations
November 3, 2016

Targeted for FINRA’s most recent sweep?

Targeted for FINRA’s most recent “sweep” requesting nearly 5 years of your info by November 15th?
November 9, 2016

New survey says more advisors building business through social media

It’s only been three years since Putnam Advisors first surveyed financial advisors on their social media usage. My how the world has changed.
November 17, 2016

System failure? System backup!

Just last summer Timothy Massad, chair of the U.S. Commodities and Futures Trading Commission (CFTC), raised the issue of disaster recovery. Citing initiatives by the Committee […]