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!

August 28, 2018

Pension Product Sold By Felon Wipes Out Investors

$100 million fraud targets pensioners Looks like the regulators aren’t the only ones looking for noncompliant members of the financial services family. According to a recent […]
September 5, 2018

SEC hits Moody’s with a $16.25 million penalty

SEC hits Moody’s with a $16.25 million penalty for rating symbol deficiencies One of the largest credit rating agencies in the US, Moody’s Investors Services Inc. […]
September 19, 2018

The NFA gets in on the fun

NFA fines futures commission merchant for inadequate supervisory measures This summer, the Compliance Department of the National Futures Association (NFA) filed a complaint against futures commission […]
September 26, 2018

Alternative investment managers slow adoptors of digital marketing

Alternative investment managers slow adopters of digital marketing says 2018 PWC + AIMA survey The 2018 Global Alternatives Distribution Survey published by PriceWaterhouseCoopers and the Alternative […]
October 2, 2018

Fines Up But Restitution Down

FINRA fines up and restitution down in the first half of 2018 The Financial Industry Regulatory Authority (FINRA) has been busy in 2018, according to a […]