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!
June 26, 2019
GPB flies under the 10% commissions cap. Pays 9.3% on the firm’s private placements According to a recent article by InvestmentNews Reporter Bruce Kelly, GPB Capital […]
July 3, 2019
Wanted: New FINRA investment management team Does the Financial Services Industry Authority (FINRA) need a new investment manager? Maybe. According to the Authority’s Annual Report, FINRA’s […]
July 9, 2019
New defendant charged in $43 million tribal bonds scheme There’s a new face officially added to the roster of bad apples involved in a $43 million […]
July 16, 2019
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 […]
July 24, 2019
FINRA Sanctions 56 Member Firms; Credits 43 Granted Extraordinary Cooperation (Pay No Fines!) The Financial Industry Regulatory Authority (FINRA) recently updated its guidelines for “Extraordinary Cooperation,” […]