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!

April 19, 2017

FINRA’s April showers bring floods of WSP fines and suspensions

We’re just midway through April, but the Financial Industry Regulatory Authority (FINRA) already has hit nearly one dozen firms for Written Supervisory Procedure (WSPs) failures for […]
April 26, 2017

SEC targets 27 firms for fraudulently promoting stocks

If it’s published on the internet, it must be true, right? That’s what 27 individuals and companies charged with fraudulently promoting stocks hoped, says the Securities […]
May 3, 2017

Trump cannot save you. Patrina can

You’re not paranoid. They are watching you… Thinking much about regulatory compliance these days? Or are you kicking your compliance decisions down the road and postponing […]
May 10, 2017

Competing on an uneven playing field

Compliance still matters — whether you do business solely with clients in the US, or have clients overseas. At home and abroad, the regulatory climate is […]
May 17, 2017

High-risk brokers – FINRA is watching you!

Are we deregulated yet? Nope. Not yet! And certainly not by the Financial Industry Regulatory Authority, which last week and this week issued a sizeable fine […]