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News + Insights - BD Compliance

Get the latest industry and Red Oak news here.

Friday, February 21 2020

Regulation Best Interest: What to Know as a Dual Registrant

On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses... [...]

Monday, January 13 2020

BD Compliance IA Compliance News Regulatory Alerts

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... [...]

Tuesday, December 31 2019

BD Compliance IA Compliance Regulatory Alerts

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... [...]

Friday, October 25 2019

BD Compliance Checklists IA Compliance News

Your Relationships With Solicitors

Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were... [...]

Monday, October 14 2019

BD Compliance Checklists IA Compliance

Why Filing Your Forms in a Timely Manner, Matters.

Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing... [...]

Monday, October 7 2019

BD Compliance IA Compliance News Regulatory Alerts

Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients?

Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the... [...]

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