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!

January 29, 2019

$1 BILLION Judgement Against Ponzi Scheme Operators

Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors and Former Owner Robert H. Shapiro Fined $100 Million What a way […]
February 6, 2019

Insurance oversight update

New code of conduct for captive managers The Self-Insurance Institute of America Inc. (SIIA) has released its SIIA Captive Manager Code of Conduct to guide captive […]
February 13, 2019

FINRA Experiences Record Volume

2018 market volatility drives FINRA volume to new record Exceptional market volatility generated an unprecedented amount of processing volume for FINRA in 2018. Was some of […]
February 20, 2019

FINRA Gifting

Failure to disclose gifts could get you…fired! (And worse!) In an industry where the regulatory bodies require transparency above all, no small gift goes unreported. That […]
February 28, 2019

Fraud costs commodities trader $15.7 million

Fraud costs commodities trader $15.7 million and lifetime ban It seems like a lifetime ago. But it was only 2015 when the Commodity Futures Trading Commission […]