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!

November 23, 2016

Investors to gain access to your compensation info

Yikes! The Securities and Exchange Commission (SEC) has just approved the Municipal Securities Rulemaking Board’s (MSRB) request to require municipal securities dealers to disclose their compensation […]
November 30, 2016

What lies ahead for fund regulation?

Speaking last month on “The SEC’s New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry,” in Boston, MA, Investment Company Institute […]
December 7, 2016

Regulators on a tear! In less than 30 days, FINRA issues nearly $3.5 million in fines

While you were eating turkey, watching football, and gearing up for your fiscal year-end…FINRA has been very, very busy.
December 14, 2016

2016 was a very good year for SEC whistleblowers – $130 million and still counting!

Last Monday (Dec. 5), the Securities and Exchange Commission (SEC) awarded $3.5 million to a whistleblower for coming forward with information that led to a SEC […]
December 20, 2016

‘Twas the night after Christmas

‘Twas the night after Christmas. The office was cold.And the CCO sat thinking, alone at his desk: