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!
October 9, 2018
If it’s too good to be true…it is. That is the case of the recent Securities and Exchange Commission (SEC) action against two individuals and their […]
October 17, 2018
Failure to disclose OBAs sinks broker after 50 years Age is no bar to finding yourself in the regulatory crosshairs. Target du jour is John Halsey […]
October 24, 2018
Is state-run regulatory compliance in your future? A recent article by Mark Miller in Wealth Management magazine reported a new wrinkle in broader fiduciary protection for […]
October 31, 2018
Compliance pros doing more with less The hiring boom prompted by the Financial Crises is over. According to a recent Compliance Week Reporter Joe Mont, compliance […]
November 7, 2018
IIROC fines CIBC World Markets for supervisory failures The regulators are everywhere. Oversight is global. Recently, a Hearing Panel of the Investment Industry Regulatory Organization of […]