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 4, 2018

FPA to NY Chapter: You’re FIRED!

According to a report by Reporter Greg Iacurci in this week’s InvestmentNews, The Financial Planning Association (FPA) has moved to dissolve the FPA of New York. […]
April 11, 2018

Former Pastor Pays

Former Pastor and friends on the hook for $8.6 Million for commodity fraud scheme against church members The US Treasury prints currency imprinted “In God We […]
April 18, 2018

Faulty oversight costs $1.3 million

Aegis Capital Corp. fined $550K for anti-money laundering and supervision rules violations Sometimes the “cheapest” investment is the most costly. That’s the case for Aegis Capital […]
April 26, 2018

Regulation Best Interest

How transparent are your relationships with investors? The SEC wants to know… Last week, the Securities and Exchange Commission (SEC) voted to propose a package of […]
May 2, 2018


RIP DOL Rule? Is the Department of Labor’s Fiduciary Rule dead? Maybe. Diana Britton recently reported in WealthManagement that the US Department of Labor (DOL) missed […]