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 9, 2015

Algo traders watch out!

The U.S. Commodity Futures Trading Commission (CFTC) is watching you…and  thinks the world would be a better place if there was more oversight and regulation. That’s […]
December 15, 2015

Twas the night before Christmas

          ‘Twas the night before Christmas, the office was bare,’Cept the CCO still battling FINRA’s new, New Year’sscare.The reports were piled high […]
December 21, 2015

The SEC Worries About Your Emails…

Earlier this month, Andrew Ceresney, Director of the U.S. Securities and Exchange Commission (SEC) testified before the Committee on the Judiciary of the U.S. House of […]
January 6, 2016

NASAA Says Reported Complaints Are Just the Tip of the Iceberg

Every year, the North American Securities Administrators Association (NASAA) conducts an annual survey of U.S. members to clarify trends in securities fraud, investor protection, and other […]
January 12, 2016

FINRA’s Priorities in 2016: Culture, Oversight, and…

This year, the Financial Industry Regulatory Authority (FINRA) will focus on three broad areas of concern