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

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…

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Wednesday, February 19 2020
2020 Advertising Review Software Challenges & Red Oak Solutions

As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain…

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Monday, February 17 2020
2020 OCIE Priorities

If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may…

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Wednesday, January 29 2020
FINRA Fines Prudential $1M for Wrong Info on Fees in Retirement Plans

Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010…

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Tuesday, January 28 2020
Work at Red Oak as an Enterprise SaaS Implementation Consultant

We currently have a need for an Enterprise SaaS Implementation Consultant.  Please take the time to review the description, requirements, and responsibilities. Feel like you are a good fit? Send…

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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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