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!

November 13, 2019

WSP Failures Equal Big Fines

Supervisory failures cost Merrill, Raymond James, and BNP Paribas Securities/Prime Brokerage big bucks! In one week, the Financial Industry Regulatory Authority (FINRA) fined BNP Paribas Securities […]
November 21, 2019

The Largest CFTC Spoof-Related Monetary Relief Order

Proprietary trading firm pays CFTC a record $67.4 million It is a Commodity Futures Trading Commission (CFTC) personal best. The Commission has issued an order filing […]
November 26, 2019

Phishing Expedition

2018 Phishing attack breaches reported NOW Writing in Health IT Security, Reporter Jessica Davis noted that the University of North Carolina-Chapel Hill’s School of Medicine just […]
December 3, 2019

October 2019 Healthcare Breaches

October 2019 sets record as second-largest data breach since 2015 October was a rough month for data breaches in healthcare, according to the monthly report issued […]
December 5, 2019

SEC FAQ for Form CRS

SEC Explains Form CRS Responding to questions about Form CRS, the Securities and Exchange Commission’s (SEC) Division of Investment Management and the Division of Trading and […]