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
December 7, 2015

Hey CCO! The SEC says it’s on your side, but…

Does the SEC understand the constraints under which some Chief Compliance Officers (CCOs) work? Yes, mostly…
December 7, 2015

Hey CCO! The SEC says it’s on your side…

Keynoting the recent 2015 National Society of Compliance Professionals National Conference, U.S. Securities and Exchange Commission Director, Division of Enforcement Andrew Ceresney  addressed (with the proviso […]
December 7, 2015

The SEC filed 807 enforcement actions so far this year — Are you ready?

Lucky for you, the Securities and Exchange Commission’s (SEC) fiscal year ends in September, because it just announced it filed 807 enforcement actions covering a “wide […]
December 7, 2015

Hey Private Fund Advisor…The SEC is watching you!

Speaking at the Managed Fund Association (MFA) Outlook 2015 Conference earlier this month, Securities & Exchange Commission (SEC) Chair Mary Jo White noted that July marked […]
May 1, 2015

Learn from the mistakes of others (and don’t repeat them!)

In 2013, Barclays Investment Bank ended what should have been a pretty good year by taking a pretty big hit – a $3.57 million fine levied […]
April 16, 2015

Stay connected to outsourced regulatory archiving

Every healthy relationship begins with great communication. It’s how first dates morph into long marriages. And it’s how powerful alliances between Broker/Dealers and their regulatory archiving services […]
September 24, 2014

10 Tips for Creating a Document Retention Policy

The Importance of a Document Retention Policy  There is no doubt that technology has allowed document retention to become easier than ever before. For many business […]
July 1, 2014

Email Archiving Companies Improve Work Life

3 Ways An Email Archiving Company Like Patrina Can Improve Your Work Life As anyone who has been subject to litigation or an audit while using […]