Know News

Know News

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.

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Know News Archives
July 7, 2016

What if you have no books or records?

This cautionary tale must be filed under the heading, “You can’t make this stuff up!”
June 29, 2016

What keeps Investment Adviser Association members up at night?

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

Failed to track pesky OBAs? FINRA’s not laughing!

“Not good enough” cost $200,000 in FINRA fines
June 15, 2016

Futures Commission Merchants blame compliance costs for closures and consolidation

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

Hiring rogue brokers…Regulators are watching you!

Rogue brokers (and the firms that hire you) watch out…your world is getting smaller (and more regulated).
June 1, 2016

Are you a social media NIKE or knock-off?

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

The SEC takes a fresh look at Security-based Swaps

Look who’s under the Securities and Exchange Commission (SEC) microscope now!
May 18, 2016

Poor oversight cost Stephens Inc. $900,000…Compliance is so much cheaper!

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 […]