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Acting as Fiduciaries: One Investment Adviser Ignores Compliance for Personal Gain

 
Friday, August 30 2019
Acting as Fiduciaries: One Investment Adviser Ignores Compliance for Personal Gain

As fiduciaries, Investment Advisers know they are ethically and legally obligated to place the interests of clients ahead of their own. Advisers also understand that the SEC provides oversight to…

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Thursday, August 22 2019
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…

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Wednesday, August 14 2019
Red Oak Compliance Solutions Makes the Inc. 5000 List of America’s Fastest-Growing Private Companies for 2019

We are pleased to announce that for the first time, Red Oak Compliance Solutions is on the annual Inc. 5000 list of the nation’s fastest-growing private companies. The magazine today…

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Tuesday, August 13 2019
New FINRA Change to Exam Schedules: What Does This Mean for Small Firms?

No broker-dealer or investment adviser enjoys spending money on compliance. Let’s face it; it’s an investment that normally doesn’t improve returns. Although a challenge for smaller firms with minimal compliance…

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Sunday, August 11 2019
Leaving The Oven On: Client Account Neglect Can Cost You

We have all done it at least once. Distracted by the game on TV or some urgent phone call, we forget our dinner baking in the oven. Hours later, we…

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Tuesday, August 6 2019
Capital One Hack: A Reminder to Practice Online Vigilance

Capital One recently announced a Seattle-based hacker accessed the company’s servers and obtained personal information on millions of credit card holders and applicants. The hack is yet another example that…

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Friday, July 26 2019
CFP Board Delays Fiduciary Standard Enforcement

The Certified Financial Planner Board of Standards Inc. approved a new code of ethics and standards of conduct in 2018.  Enforcement of their “expanded fiduciary standard” for financial advisers and…

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Friday, July 19 2019
Regulation Best Interest

For all intent and purposes, the DOL Rule was an absolute mess; a thousand pages of convoluted lawyer language. I don’t know why, but at this point in my life…

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Monday, July 15 2019
Staying Ahead in the Heart of the Storm

With Hurricane Florence barreling down on the east coast, it would be prudent for investment advisers across the country to take a step back and reexamine the measures they have…

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Friday, July 5 2019
SEC Proposes Changes to Margin Requirement for Security Futures

July 3rd – The Securities and Exchange Commission (SEC) announced today that it seeks to align the minimum margin required on security futures with other similar financial products. If the…

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