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!

September 26, 2022

‘Reasonably Designed’ Policies

Read Full Article In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. […]
September 28, 2022

SEC Fines Firms $1.1B for Texting Record-Keeping Failures

Read Full Article The Securities and Exchange Commission is fining 15 broker/dealers and one affiliated investment advisor $1.1 billion to settle charges of “widespread and long-standing failures” when […]