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!

August 2, 2017

SEC Chairman seeks inter-agency cooperation among regulators

SEC Chairman Jay Clayton seeks interagency cooperation among regulators Speaking at last week’s Security and Exchange Commission’s (SEC)National Compliance Outreach Program for Broker-Dealers in Washington, DC, […]
August 9, 2017

Investing in a stock-price-boosting ad campaign? Ummmm…

If you’re thinking about running a (fraudulent) promotional campaign to artificially boost stock prices before you dump the shares, think again! Just last week, the Securities […]
August 16, 2017

Executive impersonation – A growing threat in financial services and…

If there is one thing you can be sure of in the world of financial services is that as sure of as the sun will come […]
August 24, 2017

Ready. Set. Text!

You read that right. RIA, broker-dealer, FCM, and the rest of you financial services pros — Patrina’s got texting covered compliantly. Our Patrina + MyRepChat compliant […]
August 30, 2017

$16M Binary Options Fraud- If It’s Too Good To Be True…

CFTC Charges Californian, Floridian, and a worldwide web of companies with $16M Binary Option Fraud Temperatures may be falling, but the Commodity Futures Trading Commission (CFTC) […]
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