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.
Know News Archives
February 22, 2017
It was a bad winter for 12 firms fined a total of $14.4 million for significant deficiencies related to the preservation of broker-dealer and customer records […]
February 15, 2017
Last week, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) highlighted its five biggest noncompliance peeves which result in deficiency letters.
February 8, 2017
Despite recent regulatory upheavals, The Financial Industry Regulatory Authority (FINRA) ain’t dead yet. In fact, according to FINRA’s new president and CEO (since August 2016) Robert […]
February 1, 2017
This article by Patrina CEO Mark Opila was featured in The Active Investment Manager – the National Association of Active Investment Managers Newsletter.
January 25, 2017
What will the Securities and Exchange Commission (SEC) be watching this year? Not reality TV, that’s for certain.
January 18, 2017
The Financial Industry Regulatory Authority (FINRA) is on a roll and it’s only the middle of January! The Authority already has published its January 2017 update […]
January 11, 2017
Is the new Congress financial industry friendly? Hard to say. While it looks that way on the surface, don’t expect the regulators to go anywhere soon. […]
January 4, 2017
Make a better resolution this New Year than this former NY state pension director and his broker allies did…