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!
March 22, 2022
Read Full Article FINRA notes that the number of accounts trading in complex products and options has increased significantly in recent years and that important regulatory […]
March 22, 2022
Read Full Article In a rare public warning, the U.S. Securities and Exchange Commission on Monday told broker-dealers and other market participants to “remain vigilant to […]
March 22, 2022
Read Full Article “Chief compliance officers play an important role in facilitating compliance by promoting strong practices that protect investors and market integrity,” said Jessica Hopper, […]
March 22, 2022
Read Full Article Investment is one of the more proven ways to create long-term wealth and financial security. For most people, this means investing in a […]
March 30, 2022
Read Full Article In a statement, SEC Commissioner Hester M. Peirce noted: “Drawing the line between dealers and other active participants in our markets has long […]