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 16, 2015

Where’s YOUR Stuff? SEC issues $15 million penalty to Citigroup. Are you next?

Just last month, the Securities and Exchange Commission (SEC) issued another multi-million dollar fine for failure to enforce policies and procedures.  The SEC announced that Citigroup […]
September 25, 2015

Is FINRA making it harder to expunge black marks?

Is FINRA making it harder to erase black marks on your record? Maybe. But unlike elementary school, you can’t do a book report to lift you […]
October 5, 2015

Hey CCO…Do you have enough authority to get the job done

In this year’s survey of compliance trends published in Compliance Week, Deloitte LLP found that the tide is turning (slowly). “The prevailing direction for modern corporate […]
October 12, 2015

The SEC wants you to share your confidential data…confidentially

Whose data is it anyway? Your firm’s of course. But some days it feels like everyone and their uncle wants a piece of it.
December 7, 2015

NASAA’s latest exam data shows books and records remain a compliance problem

Writing on compliance in InvestmentNews, reporter Mark Schoeff, Jr. says that according to the North American Securities Administrators Association Inc. (NASAA), the latest batch of state-coordinat […]