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!
October 9, 2019
The future of compliance: Do more and do it faster with smaller budgets Earlier this year, Accenture published its annual Global Compliance Risk Study, a survey […]
October 16, 2019
It is not exactly an apples to apples comparison, but sometimes big financial gurus and small investment advisors can both have really bad weeks. Early last […]
October 23, 2019
FINRA’s 2019 Report on Examination Findings and Observations looks at Compliant Archiving In issuing its 2019 Report on Examination Findings and Observations this month, The Financial […]
October 30, 2019
Bad month for Chinese traders and digital token issuers October was a bad month for Chinese traders and digital token issuers, a good month for the […]
November 6, 2019
SEC proposes modernizing the advertising and cash solicitation rules for investment advisers Is a change in the air? Maybe. The Securities and Exchange Commission (SEC) has voted […]