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!

December 16, 2020

Poor WSPs cost Griffinest Asia Securities nearly $125K

While sanctions totaling nearly $125,000 might be “chump change” for some of the largest financial institutions, it’s no small matter for Griffinest Asia. The Pasadena, CA […]
December 23, 2020

The night(mare) before Christmas

Twas the night before Christmas, when all through the house Everyone was home working – with zoom and a mouse! The jacket and tie hung on […]
January 4, 2021

FINRA puts $8.8M lump of coal in Transamerica’s holiday stocking

‘Tis the season of presents and good wishes. And as most of us head off for what we hope will be a COVID-free year, 2021 may […]
January 13, 2021

SEC unveils new marketing rule for Investment Advisers

‘Twas three nights before Christmas and all through the house…WAIT!!! While you may have been out celebrating the holiday week and preparing to ring in a […]
January 20, 2021

Unregistered Broker’s Assets Frozen by SEC

In a complaint unsealed just last week, the Securities and Exchange Commission (SEC) charged Justin Robert King and his advisory firm Elevate Investments, LLC with ongoing […]