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!

March 15, 2017

The new gender challenge

Male advisors do more bad things, but female advisors face stiffer punishments Who knew there was a double standard for misbehaving financial advisors? Surprise!
March 22, 2017

New CFTC mandate: Economic growth + Leaner ops

Created in reaction to the 2008 financial markets meltdown, the Dodd-Frank Act may no longer have a role to play. So said Acting Commodity Futures Trading […]
March 30, 2017

Regulators tag team RIAs, Broker-Dealers, and FCMs

Being tag-teamed in a game of touch football is one thing. A compliance pile on by multiple financial service regulatory bodies is another. Writing about last […]
April 5, 2017

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 […]
April 12, 2017

Less regulation requires even more compliance

Deregulation is not yet upon us. Despite the speeches and the focus on K.I.S.S. (Keep It Simple Stupid) regulatory oversight, enforcement by the regulatory alphabet is […]
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