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!

June 20, 2018

How Much Do Phony Accounts Cost? Apparently $142M

Wells Fargo’s $142M settlement for phony accounts gets the green light In an update filed by Reporter Aparajita Saxena in last week’s Insurance Journal, Wells Fargo […]
June 26, 2018

Can’t Fix This Caught Zipper

FINRA delivers a one-two punch: Bars broker and firm for non-compliance Think that because you’re a ‘small” shop, the regulators won’t find you? Wake up!  You […]
July 3, 2018

Morgan Stanley Separates Itself From $3.6 Million This 4th Of July

Morgan Stanley rings in July 4th with $3.6 million, SEC penalty for poor WSPs The Securities and Exchange Commission (SEC) says that failing to protect its […]
July 11, 2018

Trading Software Developer Needed… No Experience Necessary

Nevada Federal Court orders commodity futures software vendor to pay more than $674,000 for fraud Guess it’s not that hard to be a commodity futures software […]
July 19, 2018

Data Protection Matters: A Featured White Paper By RANO

Why data protection matters to financial services companies and their compliance teams If there is one thing you can be sure of in the world of […]