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!

August 27, 2020

Five ways to keep compliance front-and-center for your remote workforce

Five ways to keep compliance front-and-center for your remote workforce           It is difficult to imagine a post-COVID-19 workplace. With many employees continuing to work remotely, […]
September 4, 2020

Are you protecting your client’s data?

Are you protecting your client’s data?   Even before the pandemic, compliance professionals must operate in a world where, in some cases, data, especially client data, […]
October 2, 2020

FINRA/SEC/CFTC Fine Interactive Brokers $38 Million For Widespread AML Failures

Regulators hit Interactive Brokers with a triple punch for more than $38 million in fines and penalties in relation to ongoing failures of its anti-money laundering […]
October 7, 2020

Supervision failures cost three Citibank affiliates $4.5 million

Supervision failures cost three Citibank affiliates $4.5 million   The Commodity Futures Trading Commission (CFTC) has issued an order filing and simultaneously settling charges against three […]
October 15, 2020

SEC had a busy 2020, and the year’s not over!

“The best-laid plans of mice and men…”  It was only a year ago at SEC Speaks 2019, that Securities & Exchange Commission (SEC) Chairman Jay Clayton […]
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