Know News

Know News

is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.

Other News

Know News Archives
August 31, 2016

FINRA depends on your Back Office A$$essment

Ahhhhhhhhh. Labor Day. School’s back in session. The smell of autumn in the air. And…the regulators stepping up the pace of branch assessments. Are you ready?
August 24, 2016

When bad things happen, do you have a backup plan?

Face it! Stuff happens. Floods in Louisiana this summer. Fires in California and the northwest. Brownouts. Blackouts. Acts of…bad people?
August 17, 2016

The SEC and the rest of the regulator alphabet want your records…NOW!

Where’s your stuff? In a file room? Off-site storeroom? In the cloud? Are you still shuffling paper? Or glued to your computer screen scrolling through file […]
August 10, 2016

The terror of instant messaging — misconduct in real-time

It wasn’t that long ago that social media and instant messaging were totally verboten. Financial services professionals fretted that the absolute ban on these speedy forms […]
August 4, 2016

The CFTC and Federal Court are HOT!

Value Options Ltd. and Global Trader 365 banned and fined a cool $4.5 million-plus  Was no one watching when Vault Options, Ltd. and Global Trader 365 […]
July 27, 2016

Poor oversight cost Prudential Annuity nearly $1 million

It’s not even the dog days of August and yet another big firm is paying FINRA big hot fines resulting from poor branch oversight.
July 20, 2016

Barclay’s Folly, or how poor WSPs can cost you $600,000

It’s going to be a long, hot, summer for Barclays Capital Inc. Just this month, the firm submitted a Letter of Acceptance, Waiver, and Consent to […]
July 12, 2016

Patrina is a 2016 Wealth Industry Award Finalist!

To paraphrase Oscar Award Winner Sally Fields, “They like us! They really like us!”