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
October 15, 2020
“The best-laid plans of mice and men…” It was only a year ago at SEC Speaks 2019, that Securities & Exchange Commission (SEC) Chairman Jay Clayton […]
October 7, 2020
Supervision failures cost three Citibank affiliates $4.5 million The Commodity Futures Trading Commission (CFTC) has issued an order filing and simultaneously settling charges against three […]
April 5, 2017
Just last summer Timothy Massad, chair of the U.S. Commodities and Futures Trading Commission (CFTC), raised the issue of disaster recovery. Citing initiatives by the Committee […]
March 30, 2017
Being tag-teamed in a game of touch football is one thing. A compliance pile on by multiple financial service regulatory bodies is another. Writing about last […]
March 22, 2017
Created in reaction to the 2008 financial markets meltdown, the Dodd-Frank Act may no longer have a role to play. So said Acting Commodity Futures Trading […]
March 15, 2017
Male advisors do more bad things, but female advisors face stiffer punishments Who knew there was a double standard for misbehaving financial advisors? Surprise!
March 8, 2017
It’s belt-tightening time at the Securities & Exchange Commission’s (SEC’s) enforcement unit. Early indication was that when Wall Street bond deal-makers convened at their annual reunion […]
March 1, 2017
Safeguarding critical information remains the top compliance concern for federally registered investment advisors. That’s according to the 11th annual Investment Advisor Association (IAA) survey of members. […]
