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Updating Policies and Procedures for Network Storage When Safeguarding Customer Records and Information

Monday, January 21 2019
White Paper: Red Oak Compliance Software Helping IT Organizations Sleep Better at Night

  As an IT leader, read the following narrative and see if it sounds familiar. Recently, during a cross-functional project meeting, one of the top departmental executives submitted a project proposal to the group.  The executive said that they had been researching a new business application to fulfill the expanding goals of the department.  They […]

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Thursday, November 15 2018
CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager

Check out the integrated Compliance Workflow and Content Management solution one of our partner’s, Synthesis Technology, completed for a Leading Global Asset Manager.  A big thanks to everyone at Synthesis for the collaboration! For more information about Red Oak Compliance Software, partnership and integration opportunities or to schedule a demonstration, please visit us online,  email us sales@redoakcompliance.com […]

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Thursday, June 13 2019
Stephen Pope Speaks at TSAM

Red Oak founder, Stephen Pope, hosted a discussion titled “The Marketing Review Journey: The Untold Stories” at the TSAM Conference in New York. The session highlighted the genesis of marketing review requirements, the evolution of rule 17A-4 for electronic Books and Records and the challenges faced by compliance teams to keep pace in today’s digital […]

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Red Oak at TSAM in New York

Red Oak Compliance Solutions is New York bound for the TSAM Conference in NY! Visit with Carmela Ravi and Stephen Pope at our booth to learn how we can help you optimize your advertising review process AND exciting new integrations soon to hit the press!

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Saturday, June 8 2019
Regulation Best Interest, adopted Form CRS

On June 4, 2019, the SEC issued a number of sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. In an effort to curb the abuses of financial professionals placing their own interest above that of their clients, the SEC enacted Regulation Best Interest, adopted Form […]

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Updating Policies and Procedures for Network Storage When Safeguarding Customer Records and Information

Employing network storage solutions, including security features offered by third-party cloud-storage providers, to safeguard customer records and information has increasingly become a part of many broker-dealer and investment adviser business operations. When designing, implementing, and/or reviewing a firm’s compliance policies and procedures, a firm should verify their policies and procedures are customized to effectively implement […]

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Sunday, May 19 2019
SEC Exam Priorities

In December 2018, the SEC issued its 2019 examination priorities for 2019. Due to the government shutdown from December 2018 through January 2019 the SEC was late getting started with its examination schedule for the year. Although late getting started, there is a good probability that they will start, and finish strong this year. With […]

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Saturday, May 18 2019
Cost of Fraud

On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member, Jeffrey Francis Thompson, from the securities industry. Jeffrey’s license is permanently relinquished and he shall never make recommendations or otherwise render advice to clients regarding […]

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Friday, April 26 2019
FINRA Conference May 15-17 – Meet Red Oak’s Team

Red Oak Compliance Software (“Red Oak”), the leading provider of advertising review software for the financial services industry, will be an exhibiting partner at the upcoming 2019 FINRA Annual Conference in Washington, DC. This year’s FINRA conference, which runs from May 15-17, 2019 will feature keynote speakers from the industry’s top regulators including Robert Cook, […]

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FINRA Notice to Members – More Than Just Rules

For those who are not aware, as a registered broker dealer there is more than just the FINRA Rules with which you must remain in compliance. Most are aware, but some may not know, that FINRA also releases Notice to Members. Notice to members are generally issued based upon common audit findings and other industry […]

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Monday, April 15 2019
Too Good to Be True

On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment adviser, allegedly lured in an investor with promises of 50% annual returns and false claims of previous success. His victim took these statements to heart […]

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Sunday, March 17 2019
Investment Adviser as Fiduciary

Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security Act (the definition used by the Department of Labor) defines a fiduciary as one who acts solely in the interest of the beneficiaries of a […]

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