is a curated selection of the latest news and views from leading sources in the compliance industry, as well as what's going on at Patrina.
Know News Archives
May 11, 2016
What started out as a simple favor to a friend, ended up with a FINRA suspension, and a 15-month Federal jail sentence. How could things go […]
May 4, 2016
How’s that Snapchat app working for you? In a recently published whitepaper in ComplianceWeek, Blue Hill Research Principal Analyst David Houlihan, Esq. noted that the growth […]
April 27, 2016
…Are you next? To borrow the motto of the Boy Scouts of America: Be prepared.
April 21, 2016
What keeps you up at night? Whether you’re the head of your company or head compliance at a Broker-Dealer, RIA or FCM, you’ve got a […]
April 13, 2016
…but you knew that.
April 6, 2016
A new survey by Accenture on compliance risk, (Compliance at a Crossroads: One Step Forward, Two Steps Back?) further highlights the challenges Chief Compliance Officers (CCOs) […]
March 30, 2016
Ooooooh. This story has a painful ending…
March 23, 2016
“Yes,” say researchers from the University of Minnesota (Mark Egan) and the University of Chicago (Gregor Matvos and Amit Seru), who constructed the first large-scale study […]