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!

January 4, 2017

The SEC closed out 2016 with a bang

Make a better resolution this New Year than this former NY state pension director and his broker allies did…
January 11, 2017

Is the new Congress financial industry friendly?

Is the new Congress financial industry friendly? Hard to say. While it looks that way on the surface, don’t expect the regulators to go anywhere soon. […]
January 18, 2017

FINRA is on a roll and it’s only the middle of the month!

The Financial Industry Regulatory Authority (FINRA) is on a roll and it’s only the middle of January! The Authority already has published its January 2017 update […]
January 25, 2017

What the SEC will be watching in 2017

What will the Securities and Exchange Commission (SEC) be watching this year? Not reality TV, that’s for certain.
February 1, 2017

Hefty Fines…Should you really consider them just another cost of doing business?

      This article by Patrina CEO Mark Opila was featured in The Active Investment Manager – the  National Association of Active Investment Managers Newsletter.