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
December 20, 2016
‘Twas the night after Christmas. The office was cold.And the CCO sat thinking, alone at his desk:
December 14, 2016
Last Monday (Dec. 5), the Securities and Exchange Commission (SEC) awarded $3.5 million to a whistleblower for coming forward with information that led to a SEC […]
December 7, 2016
While you were eating turkey, watching football, and gearing up for your fiscal year-end…FINRA has been very, very busy.
November 30, 2016
Speaking last month on “The SEC’s New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry,” in Boston, MA, Investment Company Institute […]
November 23, 2016
Yikes! The Securities and Exchange Commission (SEC) has just approved the Municipal Securities Rulemaking Board’s (MSRB) request to require municipal securities dealers to disclose their compensation […]
November 17, 2016
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 […]
November 9, 2016
It’s only been three years since Putnam Advisors first surveyed financial advisors on their social media usage. My how the world has changed.
November 3, 2016
Targeted for FINRA’s most recent “sweep” requesting nearly 5 years of your info by November 15th?