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