Know News

Know News

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.

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Know News Archives
March 21, 2016

Baking Compliance into Firm Culture

  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

IAA Cautions New SEC Rule will Increase Your Compliance Costs

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

SIFMA Panel Says Social Media Matters, So Get Your Team Onboard

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

CFPB Fines Dwolla for Data Security Practices Deception…Oops!

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

‘Tis the Season for Political Contributions, But…

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

Hey Hedge Fund Manager…Regulators Are Watching You!

  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

FINRA, NASSA, SEC, MSRB, etc…an alphabet soup of regulators want to eat your lunch!

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

New Municipal Securities Rulemaking Board Rule Focuses on Good Conduct

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 […]