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News + Insights - Checklists

Get the latest industry and Red Oak news here.

Monday, October 14 2019

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... [...]

Thursday, August 22 2019

Checklists IA Compliance

Growth & Supervision

One perk of being a smaller investment firm is not having to stress over the supervision of multiple registered investment adviser representatives (IARs). However, with growth comes increased responsibility, especially... [...]

Monday, January 21 2019

Checklists Cybersecurity News

Cybersecurity Practices Key Focus for FINRA

Submitted by: David Svrcek, Senior Compliance Consultant, Red Oak Compliance Solutions Given the evolving nature, increasing frequency, and sophistication of cybersecurity attacks one can never be too prepared. FINRA has... [...]

Tuesday, January 15 2019

Checklists IA Compliance News Regulatory Alerts

SEC Warns RIAs After Failing to Comply With Rules Regarding Electronic Communications

OCIE Risk Alert – Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions... [...]

Friday, December 28 2018

BD Compliance Checklists IA Compliance News

Year-End Compliance Wrap Up

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly... [...]

Friday, December 14 2018

BD Compliance Checklists IA Compliance

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 2

Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is... [...]

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