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!
September 6, 2017
FINRA is still watching (and refining) its monitoring processes Speaking at Georgetown University’s McDonough School of Business earlier this summer, Robert Cook, the Financial Industry Regulatory […]
September 13, 2017
FINRA CEO appears before House Financial Services Subcommittee oversight hearing Testifying before the House of Representatives’ Financial Services Subcommittee earlier this month, Financial Industry Regulatory Authority […]
September 20, 2017
State Street pays $35 Million (!) to settle fraud charges + disclosure failures! This is a cautionary tale to remind all compliance professionals to STAY ON […]
September 27, 2017
SEC hack took advantage of companies using real data for EDGAR tests Who’s watching the watchers? That’s what the U.S. Senate Committee on Banking, Housing and […]
October 4, 2017
As the fallout resulting from the October 2016 hacker breach of the Securities and Exchange Commission’s (SEC) EDGAR computer system continues, it further underscores why compliance […]