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Thursday, December 5 2019
Important Year-End Reminders

The end of the year is the perfect time to get your firm’s compliance filing and processes in order. To help, we put together a list of important year-end compliance…

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Monday, December 2 2019
Charges Settled for Additional 16 Self-Reporting Advisory Firms

In late September, the SEC announced settlements with 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. This action adds to the original 79 firms…

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Tuesday, November 26 2019
Red Oak Compliance Solutions Makes the RegTech 100

We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual list recognizes the tech companies transforming…

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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…

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Friday, November 15 2019
Red Oak User Conference: Bringing Customers Together

In late October, we held our first Red Oak User Conference at the Omni Hotel in Austin, Texas. With the team usually on the road meeting with customers or attending…

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Your Relationships With Solicitors

Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were…

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Monday, October 14 2019
Why Filing Your Forms in a Timely Manner, Matters.

Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing…

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Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients?

Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the…

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Friday, September 27 2019
A Special Opportunity: How an Investment Adviser Defrauded Clients

Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully…

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Monday, September 23 2019
Does Reg BI Violate the Advisers Act?

With industry groups failing to take the initiative in challenging the new Regulation Best Interest Advice (Reg BI), Michael Kitces and Alan Moore of XY Planning seek to take on…

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