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!

October 12, 2017

Friends/Schmrends — Ponzi schemes live on

Moving beyond hacker headlines, the Securities and Exchange Commission (SEC) continues to push forward with its mission to uncover investment advisor, bad actors acting badly. Just […]
October 18, 2017

FINRA now ranking brokers by risk profile

Risk rankings In a recent interview with InvestmentNews, Financial Industry Regulatory Authority (FINRA) Executive Vice President for Regulatory Operations Susan Axelrod told Reporter Mark Schoeff, Jr. […]
October 25, 2017

SEC’s OCIE focusing on your marketing materials

Just last month the Security and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert highlighting the most […]
November 2, 2017

SEC nominees question FINRA’s transparency

Is it a duel or is it a catfight? Last week Hester Peirce and Robert Jackson, Jr. took a moment to bash the Financial Industry Regulatory […]
November 8, 2017

More Retirement Plan Litigation On The Horizon?

DOL Fiduciary Rule could mean more exposure for financial advisors According to Suzanne Miscik, vice president of retirement plan and fiduciary services for Northeast Professional Planning […]