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!

May 6, 2020

NASAA on Cybersecurity

State securities regulators focus on cybersecurity According to the North American Securities Administrators Association (NASAA) state securities examiners are finding increased cybersecurity exposures among state-registered investment […]
May 13, 2020
SEC acts against 15 unregistered brokers | Integrated Compliance Suite

CFTC Binary Fraud

CFTC Files Charges in $20 million international fraud scheme The Commodity Futures Trading Commission (CFTC) has filed a multi-million-dollar fraud action in the U.S. District Court […]
May 20, 2020

SEC Hits Morningstar

SEC hits Morningstar Credit Ratings with $3.5 million penalty What happens when a company mixes independent analysis and advertising? Nothing good. In a recent order filed […]
May 27, 2020

Even Relatively Small Fines Hurt

Even small regulatory fines, penalties, and suspensions hurt Not every fine issued by the financial services industry regulators is a significant dollar fine. That doesn’t mean […]
June 2, 2020

Poor Supervisory Controls Put RBC In Regulatory Crosshairs

Massachusetts Commonwealth Secretary charges RBC Capital Markets with supervisory failures The Massachusetts Secretary of the Commonwealth William Galvin has filed a complaint that RBC Capital Markets’ […]