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August 23 2018
SEC Denies Bitcoin ETF Proposal For The Second Time Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On July 26, the price of Bitcoin fell 3 percent after the SEC rejected an attempt to create the first cryptocurrency-based ETF. This [...] Read more
August 22 2018
Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives, and a marketing [...] Read more
August 9 2018
Investment Adviser Fined for Insufficient Conflict of Interest Disclosures Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance with SEC Rules [...] Read more
August 7 2018
Crypto Crackdown   Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems known as cryptocurrencies. [...] Read more
July 26 2018
Simplifying Compliance for Investment Advisors – An Interview with Cathy Vasilev, Senior Vice President, Red Oak Compliance Solutions By Matthew Edward Regulations present wealth managers, stockbrokers, and other financial professionals with a complex minefield of rules to maneuver through if they want to properly serve investors. Fortunately, regulatory requirements can be [...] Read more