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!
November 16, 2018
US/Canadian insurance marketers – Your regulators are watching you … Whether you are in the US or in Canada, if you are in the business of […]
November 20, 2018
SEC Hits New York boiler room a second time The Securities and Exchange Commission (SEC) has charged Long Island, NY-based boiler room Elite Stock Research, First […]
November 28, 2018
Writing in Insurance Forum, Harry Lew, a chief content officer at the National Ethics Association, says non-compliant advertising is an evergreen regulatory issue. Advertising, he says, […]
December 5, 2018
Clean your spotty records now before rules tighten! If you’ve got a blemish on your disclosure records you’d like removed, do it now! Next year those […]
December 12, 2018
What FINRA regulators have seen this year For the edification of the financial community, the Financial Industry Regulatory Authority (FINRA) has published a summary of key […]