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 10, 2020
Insurance Company Argo Group’s failure to disclose excessive executive perks costs it $900K The Securities and Exchange Commission (SEC) has settled charges against Bermuda-based insurance company […]
June 17, 2020
FINRA scrutinizes UITs as IBD settles case for $1.6 million Failure to establish and maintain a supervisory system cost SagePoint Financial, Inc. a $1.6 million payout […]
June 24, 2020
Deutsche Bank Pays Over $10 Million to Settle Two CFTC Cases Reporting violations and spoofing cost Deutsche Bank AG more than $10 million – and that […]
July 1, 2020
Telegram returns $1.2 Billion to Investors; Pays $18.5 million penalty to settle SEC charges OMG! No matter how big your company, you know compliance is so […]
July 10, 2020
FINRA and SEC hit SG Americas Securities with $3.1 million in fines over blue sheets mishap For more than seven years, SG Americas Securities, LLC (SGAS) submitted […]