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!

March 25, 2020

SEC Offers Covid Reprieve

Regulatory Good Day/Bad Day: SEC offers some COVID-19 reliefs and pays whistleblower The Securities and Exchange Commission (SEC) was in a giving mood. The Commission announced […]
April 8, 2020

Regulatory Compliance Does Not Stop Because of a Work From Home Environment

Regulatory compliance does not stop in a crisis In times like these, the last thing you want is to learn that your compliance systems are not […]
April 15, 2020

Advisors Pay It Forward

Advisors (and Patrina) join the fight against COVID-19 One of the positives that comes out of any crisis is how often a community steps up to […]
April 22, 2020

Marketing Channels Shift During COVID 19

Marketing continues during COVID-19 Marketing matters – even while financial advisers (and compliance pros) are sheltering in place as a result of the COVID-19 pandemic. While […]
April 30, 2020

Reg BI, Form CRS, and COVID-19

Regulatory compliance stops for nothing. Not even the coronavirus. In a recent article in Investment Advisor magazine, Reporter Melanie Waddell wrote that the Securities and Exchange […]