Know News
is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.
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Know News Archives
July 29, 2021
SMS compliance has become a challenge in the financial industry. This is because Text messaging has gained popularity over the years as a necessary tool for […]
April 28, 2021
Writing in Bloomberg, Reporters Joe Light and Ben Stupples report that a move by reform advocates in the wake of Archegos’ implosion could require U.S. family […]
April 21, 2021
Even longtime members of the Financial Industry Regulatory Authority (FINRA) can run afoul of the regulator. HSBC, for one, has been a FINRA member since July […]
April 15, 2021
According to the Commodity Futures Trading Commission (CFTC), the U.S. District Court for the District of Nevada entered a default judgment against defendants for a cryptocurrency […]
April 2, 2021
According to Reporter Jaclyn Jaeger, writing in ComplianceWeek, Coinbase, a digital currency exchange operator, has agreed to pay a $6.5 million civil penalty to settle charges […]
March 25, 2021
The Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent (AWC), censuring and fining Goldman Sachs & Company $1,250,000. Why did FINRA […]
March 18, 2021
Yes, you can. The Securities and Exchange Commission (SEC) announced fraud charges, an asset freeze, and other emergency relief against an Irvine, California-based trader who used […]
March 10, 2021
In announcing its 2021 Examination Priorities, the Securities and Exchange Commission’s (SEC) Division of Examinations says it will be focusing on climate-related risks in addition to […]
