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 10, 2015
This year, FINRA announced its intent to focus on key sales practices, as well as financial, operational and market integrity matters. In particular, the Authority highlighted […]
August 18, 2015
Want to Tweet to your followers soliciting an offer to buy a security? Or even simply to inquire whether they might want to buy a security? […]
August 24, 2015
Speaking at last month’s Compliance Outreach Program for Broker Dealers hosted by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), panelists discussed […]
August 28, 2015
FINRA reports that, over the past 10 years, most of the exposures its regulators find have their roots in firm culture…in particular, cultures where firm management […]
September 2, 2015
NEW YORK, NY — Furthering its commitment to help Broker-Dealers, RIAs, and FCMS manage the core of their non-trading compliance, Patrina Corporation announces it has partnered with PageFreezer […]