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!
January 22, 2020
SEC hits “Ponzi-like” schemer with an emergency asset freeze Why did the Securities and Exchange Commission (SEC) hit Illinois resident Kenneth Courtright, III, and his company, […]
January 29, 2020
Phishing is #1 threat Phishing has been identified as the #1 threat action used in successful breaches, according to Verizon’s 2019 Data Breach Investigations Report. In […]
January 30, 2020
WSP failures cost Oppenheimer $3.8 million The Financial Industry Regulatory Authority (FINRA) hit Oppenheimer & Co. Inc. with a more than $3.8 million charge as restitution […]
February 5, 2020
Misleading statements, supervision failures cost commodity pool operator, CEO more than $10 million The Commodity Futures Trading Commission (CFTC) issued an order simultaneously filing and settling […]
February 13, 2020
SEC charges ABN AMRO Clearing Chicago with improper handling of ADRs The Securities and Exchange Commission (SEC) hit ABN AMRO Clearing Chicago LLC for more than […]