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!

April 15, 2021

Federal Court Orders Crypto Fraudster to pay more than $32M

According to the Commodity Futures Trading Commission (CFTC), the U.S. District Court for the District of Nevada entered a default judgment against defendants for a cryptocurrency […]
April 21, 2021

FINRA hits HSBC Securities with a $650K fine and censure

Even longtime members of the Financial Industry Regulatory Authority (FINRA) can run afoul of the regulator. HSBC, for one, has been a FINRA member since July […]
April 28, 2021

New regs could require family offices to register as investment advisors

Writing in Bloomberg, Reporters Joe Light and Ben Stupples report that a move by reform advocates in the wake of Archegos’ implosion could require U.S. family […]
July 29, 2021
Patrina Corporation SMS Compliant Archiving

SMS Compliance: A Complete Guide for Financial Firms

SMS compliance has become a challenge in the financial industry. This is because Text messaging has gained popularity over the years as a necessary tool for […]
March 22, 2022

FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022