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!

December 20, 2017

Happy Holidays from Patrina

              The Twelve Days of Compliance  
December 28, 2017

CFTC hit the commodity futures trading industry with $413 million in sanctions 2017

It’s been a busy year for the Commodities Futures Trading Commission (CFTC). The Commission just announced its annual enforcement results for fiscal year 2017 ending the […]
January 3, 2018

FINRA streamlines Outside Business Activities oversight

FINRA streamlines Outside Business Activities oversight   At its pre-New Year meeting, the Board of the Financial Regulatory Authority (FINRA) authorized the organization to propose a […]
January 10, 2018

FINRA AND the NASAA watching cryptocurrency hype

Cash may be king, but virtual cash is emperor! As cryptocurrencies continue to garner national and international headlines, everyone is watching the sector carefully. Including the […]
January 17, 2018

FINRA’s not dead yet!

FINRA’s not dead yet! Will you still be a target in 2018? In its 2018 Regulatory and Examination Priorities Letter released early last week, the Financial […]