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!

July 25, 2018

DB + ADRs = Nearly $75 Million in Fines

Deutsche Bank to pay nearly $75 million Two US-based subsidiaries of Deutsche Bank AG will pay the Securities and Exchange Commission (SEC) nearly $75 million to […]
August 2, 2018

A CFTC Smackdown

CFTC hits R.J. O’Brien & Associates LLC with $600K for supervisory failures and… Well…the Commodity Futures Trading Commission (CFTC) closed the month of July with a […]
August 8, 2018

You are never too small for regulators to fine you!

You are never too small for regulators to fine you! EFG Capital International Corp. (EFG) is not exactly a small potato in the financial services business, […]
August 15, 2018

Re-established 2018…..this time for real

Wells Fargo is back in the cross hairs…again! Bad actors are just a gift that keeps on giving for Wells Fargo & Co. The bank cannot […]
August 22, 2018

Ameriprise Is Feeling The Heat

Your firm is on the hook when your brokers go rogue It’s hot outside and inside for brokers gone bad and the firms that run them. […]