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!

December 7, 2015

Hey Private Fund Advisor…The SEC is watching you!

Speaking at the Managed Fund Association (MFA) Outlook 2015 Conference earlier this month, Securities & Exchange Commission (SEC) Chair Mary Jo White noted that July marked […]
December 7, 2015

The SEC filed 807 enforcement actions so far this year — Are you ready?

Lucky for you, the Securities and Exchange Commission’s (SEC) fiscal year ends in September, because it just announced it filed 807 enforcement actions covering a “wide […]
December 7, 2015

Hey CCO! The SEC says it’s on your side…

Keynoting the recent 2015 National Society of Compliance Professionals National Conference, U.S. Securities and Exchange Commission Director, Division of Enforcement Andrew Ceresney  addressed (with the proviso […]
December 7, 2015

Hey CCO! The SEC says it’s on your side, but…

Does the SEC understand the constraints under which some Chief Compliance Officers (CCOs) work? Yes, mostly…
December 7, 2015

The SEC catches social media fraudsters

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) recently issued an Investor Alert warning investors about “fraudsters who may attempt […]