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Investment Advisers and Registration Requirements

Friday, January 17 2020
SEC Proposes New Accredited Investor Definition

Last month, the SEC voted to propose amendments to the definition of “accredited investor,” opening new avenues to previously underserved investors who have (or should have) the knowledge and expertise…

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Thursday, January 16 2020
Adviser’s Road to a Retiree Ruse

Over the past year, the SEC renewed its commitment to focus on protecting our senior citizens from abuse and financial exploitation. As fiduciaries, Investment Advisers  (IAs) must act in the…

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Reg BI – How does your firm plan to comply? – Webinar Replay

In this webinar from November 2019, Cathy Vasilev, a founding member and COO of Red Oak Compliance Solutions and Dana Rhodes, Managing Director of Enterprise Services at Riskalyze, dive into…

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FINRA Examination Reform

In case you missed it, earlier this month FINRA announced a consolidation of examination responsibilities previously divided among three different programs responsible for business conduct, financial, and trading compliance. With…

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As the industry events slow down for the holidays, we thought of sharing our notes from conferences we attended throughout the year. There were several conferences, like the October 2019…

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Thursday, December 12 2019
‘Tis the Season for Registrations

The annual renewal season for firms has begun. It’s time to ensure that you and all representatives are registered appropriately in every jurisdiction needed. Unlike the proverbial lump of coal…

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Thursday, December 5 2019
Important Year-End Reminders

The end of the year is the perfect time to get your firm’s compliance filing and processes in order. To help, we put together a list of important year-end compliance…

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Monday, December 2 2019
Charges Settled for Additional 16 Self-Reporting Advisory Firms

In late September, the SEC announced settlements with 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. This action adds to the original 79 firms…

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Tuesday, November 26 2019
Red Oak Compliance Solutions Makes the RegTech 100

We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual list recognizes the tech companies transforming…

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Regulatory Audits: 4 Common Deficiencies & 11 Best Practices for Investment Advisers

If you’re a legally registered investment adviser (IA), then you know the end of the year means concentrating on regulatory audits. The North American Securities Administrators Association (NASAA) 2019 IA…

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