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!

May 24, 2017

Fraudulent sales and marketing catches attention of the CFTC

This has been a busy week at the US Commodity Futures Trading Commission (CFTC). On Thursday (May 23, 2017, Judge Kenneth Marra of the US District […]
June 1, 2017

It’s 6 pm. Do you know where your people are?

It’s the start of the summer silly season and a perfect time to take a closer look at your members’ outside business activities (OBAs). Why is […]
June 7, 2017

The case for outsourcing your Electronic Records Storage

To pay the cost of outsourcing electronic records storage (ERS) or not to pay the cost of outsourcing ERS? That is not the right question. You […]
June 14, 2017

Taking Uncertainty Out of the Equation With Automatic Compliance Testing

By Colleen Corwell   US regulators have been making big investments in Big Data to accelerate exam frequency and more aggressively combat market malfeasance.[i] For instance, […]
June 21, 2017

CFP Board Seeks Improvements to Ethics and Conduct

The Certified Financial Planner Board of Standards, Inc. (Board) is looking to upgrade its Standards of Professional Conduct, the ethics Bible for certified financial planners (CFP). […]