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!

January 27, 2021

Is there a common theme in financial statement fraud schemes?

Is there a common theme among financial statement fraud schemes? Maybe according to the Anti-Fraud Collaboration (AFC), which issued a study this month to classify common […]
February 4, 2021

CFP Board Reviews Sanction Guidelines

Writing recently in Wealth Management magazine, Patrick Donachie reported that a new commission established by the Certified Financial Planner Board of Standards (CFP) will reexamine the […]
February 10, 2021

$1.7 billion Ponzi-like scheme defrauds 17K-plus retail investors

Forget about GameStop and Redditt. This week, the Securities and Exchange Commission (SEC) charged three individuals and their affiliated entities with running a Ponzi-like scheme that […]
February 18, 2021

Can advisors save clients from romantic scammers?

This is a case of a wealth advisor doing the right thing for a client by delivering bad news. In a story reported by Joh Kador […]
February 24, 2021

What’s FINRA looking for this year?

What’s the Financial Industry Regulatory Authority (FINRA) looking at this year? Much of the same, according to the recently released Risk Monitoring and Examination Activities Report. […]