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!

November 15, 2017

Tweet that! Text this!

What’s in a name? That would we call a rose, by any other word would smell as sweet…”  Shakespeare aside, While Juliet assured Romeo that he […]
November 21, 2017

Are you making money? Or paying fines?

Are you making so much money that you can afford even the smallest of regulator-issued fines? Really? Here’s a better idea of you’re already okay with […]
November 29, 2017

CFTC hits Cargill Inc. with $10 million face slap

Cargill, Inc.’s website says it is “committed to helping the world thrive,” but at what expense? That’s what the Commodity Futures Trading Commission (CFTC) wondered when […]
December 6, 2017

How do you balance marketing and compliance?

A Securities and Exchange Commission (SEC) risk alert based on the results of the Commission’s Touting Initiative focused on common marketing and compliance missteps. Those findings, […]
December 13, 2017

FINRA’s 2017 exam findings target OBAs

The Financial Industry Regulatory Authority (FINRA) has published the results of its 2017 examinations of broker-dealers. The report highlights selected and collected observations gleaned from recent […]