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!

June 28, 2017

FSI Whitepaper Targets OBA Exposure

Earlier last week, the Financial Services Institute (FSI) released its white paper on outside business activities (OBAs).  FSI’s release is timely as the Financial Industry Regulatory […]
July 5, 2017

FINRA adds Patrina to its Compliance Vendor Directory

FINRA adds Patrina data management + email/social media archiving to its Compliance Vendor Directory Trusted by clients since 1993, Patrina now is even more well-credentialed. The […]
July 14, 2017

The regulators are alive and well

As we write this, the Financial Services Regulatory Authority (FINRA) has issued nearly $2 million in fines to securities investor State Street Global Markets LLC and […]
July 19, 2017

Did FINRA kill WFG Investment acquisition?

In a recent InvestmentNews article, Bruce Kelly reported that National Holding’s acquisition of broker-dealer WFG Investments was called off because it was too “complicated.” National Holdings […]
July 27, 2017

AdvisorNews: Trump Can’t Make Regulation Pressure on RIAs Go Away

A new U.S. government report shows that Uncle Sam is focusing more on registered investment advisor investigations, even as a key watchdog regulatory agency is cutting […]