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!

February 19, 2020

HHS-OCR is watching

Health & Human Services is watching you In filing its report for 2019, Health & Human Services’ (HHS) Office of Civil Rights (OCR) noted that since […]
February 20, 2020

Bookkeeper Violates FINRA Rules 3270 and 2010

Bookkeeper violates FINRA WSPs/OBAs We write about registered representatives and broker-dealer oversight – but what about your office manager/bookkeeper? On Valentine’s Day, Angela Marie Chatfield agreed […]
February 26, 2020

Business Email Compromise Leads 2019 Cybercrime Stats

FBI says business email compromise leads 2019 cybercrime stats, $3.5 billion loss According to a recent article in Health IT Security by Jessica Davis, the FBI’s […]
March 4, 2020

A $7 Million Assist

SEC awards whistleblower more than $7 million for assistance February 2020 was a bad month for some in the investment industry, but a great month for […]
March 11, 2020

CFTC secures $22.6M + cash pallet

CFTC secures $22.6 million judgment and a pallet of cash from Forex fraudsters The U.S. District Court for the Middle District of Alabama has entered a […]
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