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 22, 2019

The Cost of Supervisory Failures

Supervisory failures cost Buckman, Buckman & Reid $204K The Financial Industry Regulatory Authority (FINRA) has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid, Inc. (BBR) to […]
May 29, 2019

SEC Sues Pyramid Scheme Perps

SEC sues pyramid scheme perps promising cryptocurrency riches The Securities and Exchange Commission (SEC) filed a civil injunctive action against Daniel Pacheco, a resident of San […]
June 6, 2019

Can well-regarded, top-rated funds still fail compliance tests?

Compliance failures cost hedge fund advisor $5 million Compliance gets no respect. Until that is, one of the regulatory alphabet catches wind of an oversight and […]
June 14, 2019

CFP Fiduciary Standard Worries

Is the new CFP fiduciary standard more worrisome than the SEC advice rule? Yep! While you are busy reviewing the Securities and Exchange Commission’s (SEC) new […]
June 20, 2019

SEC BI Rule in flux-ish

Is the SEC’s Best Interest Rule still happening? Yes, at this writing. However, this week, there are two different articles – one in InvestmentNews and the […]