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!
January 24, 2018
SEC hits operators of $1.2 billion Ponzi scheme The Securities and Exchange Commission (SEC) has announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly […]
January 31, 2018
CFTC hits 9 bad actors in one day Talk about a bloody Monday. The U.S. Commodity Futures Trading Commission (CFTC) is on a roll this January, […]
February 7, 2018
Some firms just cannot get compliance right. It was just over a year ago that the Financial Industry Regulatory Authority (FINRA) fined 12 firms a total […]
February 14, 2018
FINRA says the goal of financial sanctions is…change Speaking earlier this week at the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering (AML) conference in […]
February 21, 2018
Are you paying attention? Bigger money is at stake. At the end of 2015, JPMorgan Chase & Co. agreed to pay a record $367 million asset-management […]