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!
April 10, 2015
Paperwork. It’s a killer and there is more and more of it — Like your recordkeeping obligations under 17 CFR 1.31. That’s the Code of Federal Regulations […]
April 16, 2015
Every healthy relationship begins with great communication. It’s how first dates morph into long marriages. And it’s how powerful alliances between Broker/Dealers and their regulatory archiving services […]
May 1, 2015
In 2013, Barclays Investment Bank ended what should have been a pretty good year by taking a pretty big hit – a $3.57 million fine levied […]
May 7, 2015
To pay the cost of outsourcing electronic records storage (ERS) or not to pay the cost of outsourcing ERS? That is not the right question. You […]
May 14, 2015
What would you do if managing FINRA compliance issues wasn’t such (dare we say it?)…a time suck? You’d probably spend more time looking at the bigger […]