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News + Insights - IA Compliance

Get the latest industry and Red Oak news here.

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... [...]

Thursday, January 16 2020

IA Compliance News

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... [...]

Monday, January 13 2020

BD Compliance IA Compliance News Regulatory Alerts

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... [...]

Tuesday, December 31 2019

BD Compliance IA Compliance Regulatory Alerts

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... [...]

Tuesday, December 17 2019

Conferences and Events IA Compliance Regulatory Alerts

ANNUAL COMPLIANCE UPDATES

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... [...]

Thursday, December 12 2019

IA Compliance News

‘Tis the Season for Registrations

The annual renewal season for firms has begun. It’s time to ensure that you and all representatives are registered appropriately in every jurisdiction needed. Unlike the proverbial lump of coal... [...]

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