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!

September 4, 2019

Crypto Crackdown

NASAA State and Provincial securities regulators see more crypto fraud You can’t “see” it. You can’t “touch” it. You can’t “smell” it. But with the price […]
September 10, 2019

Texting & HIPAA

Does Texting Violate HIPAA? Not exactly. That’s the opinion published by HIPAA Journal. Caveats regarding HIPAA depend on the content of the text message, who the […]
September 18, 2019

JP Morgan Securities’ WSP Exposure

J.P. Morgan Securities’ disclosure failures and poor WSPs cost it a $1.1 million FINRA fine The written supervisory failure discussed in this blog was not a […]
September 26, 2019

Influencing the Expungement Process?

Expungement attorney accuses FINRA staff of trying to influence arbitrators It is not uncommon for brokers to petition the Financial Industry Regulatory Authority (FINRA) to expunge […]
October 3, 2019

What’s The Cost Of Disclosure Failures? Ask These Firms

Disclosure failures cost 17 advisory firms $10.3 million The Securities and Exchange Commission (SEC) has ordered 17 investment advisers to pay more than $10 million to […]