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!

February 28, 2018

Has the SEC gone soft?

Did you think the regulators were going to go away under the current administration? Think again! Compliance still matters, and fines and sanctions are being issued…albeit […]
March 6, 2018

Why would Goldman Sachs pay FINRA $700K?

It may be chump change to Goldman Sachs, but not sanctions and a $700,000 fine is not exactly small change to us! What about you? The […]
March 14, 2018

With cryptocurrency comes MORE regulation NOT less Speaking at last week’s DC Blockchain Summit, Brian Quintenz, Commissioner of the Commodity Futures Trading Commission (CFTC), advised against […]
March 21, 2018

Merrill Lynch beats JPMorgan

Merrill Lynch whistleblowers make more than JP Morgan’s! Was it only last month that we were boggled by the $30 million the Commodity Futures Trading Commission […]
March 29, 2018

Hire a regulator?

If you want to protect your business from the Internal Revenue Service (IRS), what better strategy is there than to hire a former IRS agent. If […]
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