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News + Insights - Cybersecurity

Get the latest industry and Red Oak news here.

Friday, September 10 2021

Cybersecurity and Compliance: Protecting You Firm from Phishing

Many people, including high-ranking executive leaders, tend to let their eyes glaze over when topics like IT management and cybersecurity come to the forefront. It’s not that they’re unconcerned –... [...]

Monday, August 31 2020

Cybersecurity News

Is Your Firm at Risk of a Cyber Attack?

As the country still reels from the effects of the pandemic, the relentless assault of cybercriminals has not slowed. And, with many people continuing to work online from home (66... [...]

Tuesday, April 21 2020

BD Compliance Checklists Cybersecurity IA Compliance News

Supporting Clients and Defending Against Cybersecurity Threats During COVID-19

Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals.... [...]

Monday, April 6 2020

BD Compliance Cybersecurity IA Compliance News

COVID-19 Cyber Safety for Our Clients

These past few weeks continues to present us with unprecedented personal and professional challenges. During this time, the Red Oak team remains committed to prioritizing the safety of our employees... [...]

Friday, March 27 2020

Cybersecurity

OCIE Observations on Cybersecurity and Resiliency Practices

On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken... [...]

Tuesday, November 19 2019

Checklists Cybersecurity IA Compliance Regulatory Alerts

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... [...]