Know News

Know News

is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.

Other News

Know News Archives
May 11, 2016

Will outside business activities land you in jail?

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

Are you tweeting? The world is and the regulators are watching…

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

The CFB Board censures bad CFPs…

  …Are you next? To borrow the motto of the Boy Scouts of America: Be prepared.
April 21, 2016

We want you to sleep better at night! Announcing Patrina Compliance News

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

Bad things happen when your reps don’t keep you in the loop…

…but you knew that.
April 6, 2016

Technology is key to CCOs keeping a seat at the management table

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

Bad compliance is expensive unless you’ve got $1 million to throw away

  Ooooooh. This story has a painful ending…
March 23, 2016

Are Financial advisors really less trustworthy than Uber drivers?

“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 […]