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
March 21, 2016
One recurring complaint often heard from the compliance community is that compliance is considered a simple cost center. Boards of directors and senior leadership teams […]
March 15, 2016
A recent blog posted by Investment Adviser Association (IAA) General Counsel Bob Grohowski and Assistant General Counsel Sanjay Lamba warns that managing the rising cost of […]
March 9, 2016
What your firm, your branch offices, your members post in social media matters. That’s the consensus at a recent Securities Industry and Financial Markets Association seminar […]
March 4, 2016
The moral of this story: If you say you are going to do something, you better well do it!” Such wasn’t the case for online […]
March 4, 2016
We’re already hip deep into the US primary season. For those living in polling states, it may seem like political ads have taken over your television […]
February 17, 2016
Citing increased scrutiny of hedge fund managers post-2008, the Alternative Investment Management Association (AIMA) has published its first guidelines focusing on operational risk management processes […]
February 9, 2016
2016 is shaping up to be a big year for the regulators. And they all want a piece of you. So when the regulators call, will […]
February 2, 2016
The Securities and Exchange Commission (SEC) has approved a new Municipal Securities Rulemaking Board (MSRB) Rule G-42 establishing “core standards of conduct for municipal advisors that […]
