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