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!
July 16, 2020
NASAA open for comments on proposed WSP rule until August 1, 2020 The Investment Adviser Regulatory Policy and Review Project Group (Project Group) of the North […]
July 23, 2020
The Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action in the Eastern District of California, charging a slew of individuals and entities with […]
July 30, 2020
Advisor’s texts could spell big trouble in court According to Reporter Asia Martin, writing in Wealth Management, legal observers say that Advisor Brian Doench’s recorded text […]
August 7, 2020
Five WAH tips to keep your team and your data safe and compliant If your members are still working at home now and for the foreseeable […]
August 13, 2020
What 5 compliance issues keep you up all night? My how time flies. It’s been nearly a dozen years since excessive risk-taking by banks and the […]