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!
February 8, 2017
Despite recent regulatory upheavals, The Financial Industry Regulatory Authority (FINRA) ain’t dead yet. In fact, according to FINRA’s new president and CEO (since August 2016) Robert […]
February 15, 2017
Last week, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) highlighted its five biggest noncompliance peeves which result in deficiency letters.
February 22, 2017
It was a bad winter for 12 firms fined a total of $14.4 million for significant deficiencies related to the preservation of broker-dealer and customer records […]
March 1, 2017
Safeguarding critical information remains the top compliance concern for federally registered investment advisors. That’s according to the 11th annual Investment Advisor Association (IAA) survey of members. […]
March 8, 2017
It’s belt-tightening time at the Securities & Exchange Commission’s (SEC’s) enforcement unit. Early indication was that when Wall Street bond deal-makers convened at their annual reunion […]