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 1, 2014
3 Ways An Email Archiving Company Like Patrina Can Improve Your Work Life As anyone who has been subject to litigation or an audit while using […]
September 24, 2014
The Importance of a Document Retention Policy There is no doubt that technology has allowed document retention to become easier than ever before. For many business […]
November 11, 2014
Recordkeeping Obligations for CFTC 17 CFR 1.31 If you work in the futures or derivatives sector, you probably already know that you have recordkeeping obligations under 17 […]
December 12, 2014
Under the Commodities Exchange ACT (CEA) several industries are now expected to meet 17 CFR 45.2 compliance requirements for the management and archiving of their records. Without a […]
April 2, 2015
When the Financial Industry Regulatory Association (FINRA) comes calling, do you still panic? You shouldn’t.