is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.
Know News Archives
July 7, 2016
This cautionary tale must be filed under the heading, “You can’t make this stuff up!”
June 29, 2016
According to the Investment Adviser Association’s (IAA) 2016 Investment Management Compliance Testing Survey (conducted in conjunction with ACA Compliance Group and OMAN), the cost of compliance, […]
June 22, 2016
“Not good enough” cost $200,000 in FINRA fines
June 15, 2016
The Commodity Futures Trading Commission (CFTC) worries that consolidation among futures commission merchants (FCMs) signals the beginning of a slide down a slippery slope.
June 8, 2016
Rogue brokers (and the firms that hire you) watch out…your world is getting smaller (and more regulated).
June 1, 2016
Just DON’T do it! That’s the social media motto for Chief Compliance Officers (CCOs) in virtually every arena of the heavily regulated financial services universe.
May 25, 2016
Look who’s under the Securities and Exchange Commission (SEC) microscope now!
May 18, 2016
If you’ve got money to burn, do something with it! Build a bonfire, give it to charity, or…you can do what Stephens Inc. did, give it […]