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 25, 2015
If you’re a small(ish) firm complying with FINRA Rule 3130, you know the goal of the Rule is to “promote regular and meaningful interaction between senior […]
July 8, 2015
If you’re compliant and you know it, don’t just clap your hands! Tell FINRA. That’s the advice FINRA’s Susan Axelrod shared at the Agency’s recent 2015 […]
July 17, 2015
Writing in Tech Target, Phil Goodwin wrote: “A core best practice for effective storage management is archiving technology that frees up storage resources, improves performance, and […]
July 27, 2015
Whether it’s your first exam or 31st, FINRA knows its examiners make you nervous. They admit as much in their “What to Expect” and “How-to Prepare” […]
August 3, 2015
While you were busy closing stoking the BBQ this weekend, FINRA announced Friday that it is filing a proposed rule change with the Securities and Exchange […]