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!

December 19, 2018

PATRINA MAKIN’ A LIST

You better watch out, You’d better comply But just to be sure, Here’s a great buy Patrina is comin’ to town.   FINRA’s making a list […]
January 2, 2019

Morgan Stanley Boo-boos

Morgan Stanley closes 2018 with mega fines What a way to ring in the new year! Two reports say Morgan Stanley is on the hook for […]
January 9, 2019

Who’s Minding The Money At MBSC?

FINRA hits MBSC with $1 million + for first-time WSP failure MBSC Securities Corporation has been registered with the Financial Industry Regulatory Authority (FINRA) or its […]
January 17, 2019

What’s The Cost of Mishandling ADRs?

SEC hits JPMorgan with more than $135 for mishandling ADRs JPMorgan had a tough year end in 2018. Not as tough as Wells Fargo, but pretty […]
January 23, 2019

Even EDGAR is not immune.

Nine defendants in Edgar hack scheme charged Where’s your data? Somewhere safe you hope. But, even EDGAR is not immune. The Securities and Exchange Commission (SEC) […]
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