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
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
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
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 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 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 […]