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!

May 21, 2015

What do the Swap dealers do?

Swap alert. Historical data matters. Reporting of Swap transactions is an essential part of compliance.
May 26, 2015

Patrina Introduces its Compliance Suite at the 2015 FINRA Annual Conference

New York City, NY – May 26, 2015 Patrina Corporation to exhibit at the FINRA Annual Conference in Washington, DC May 27-29 .
June 3, 2015

FINRA wants more Broker-Dealer standards and compliance

In his address at the 2015 FINRA Annual Conference in Washington, DC last week, FINRA Chairman and Chief Executive Officer Richard Ketchum asked attendees (paraphrasing here): […]
June 12, 2015

What’s the best social media policy? Implementation

Social media. It’s a sticky wicket for Broker/Dealers, RIAs, FCMs — actually pretty much all finance-related categories — and a “virtual” blank check for the regulators. […]
June 17, 2015

Even small firms must foster cultures of compliance

Speaking as member of a 2015 FINRA Annual Conference panel in Washington, DC late last month, Mari Buechner, President/Chief Executive Officer and Chief Compliance Officer of […]