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2020 OCIE Priorities

 
Tuesday, April 7 2020
Red Oak Compliance Solutions Celebrates 10th Anniversary

This month marks the 10th anniversary of Red Oak Compliance Solutions. The journey started for our founders in 2006 when they initially worked together at a hybrid broker-dealer/RIA and built…

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COVID-19 Cyber Safety for Our Clients

These past few weeks continues to present us with unprecedented personal and professional challenges. During this time, the Red Oak team remains committed to prioritizing the safety of our employees…

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Friday, April 3 2020
Date for Reg BI Remains Unchanged

Ramifications related to COVID-19 have spread far and wide. They range from only “essential business” remaining open to how we buy groceries and other goods to an extension for filing…

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Tuesday, March 31 2020
Zen Master’s Crypto: Celebrity Endorsements Require Disclosures

Joining a list of other celebrities to jump into the financial investment or fintech space, action movie star Steven Seagal is one that also faced charges for nondisclosure of compensation….

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Monday, March 30 2020
Making the Cut: Factors for Registrant Examination

Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted…

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Friday, March 27 2020
OCIE Observations on Cybersecurity and Resiliency Practices

On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken…

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Tuesday, April 7 2020
Red Oak Compliance Solutions Celebrates 10th Anniversary

This month marks the 10th anniversary of Red Oak Compliance Solutions. The journey started for our founders in 2006 when they initially worked together at a hybrid broker-dealer/RIA and built…

Read more
Tuesday, March 24 2020
COVID-19 | Does it Change Ad Review and Compliance?

Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to…

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Friday, February 28 2020
Regulation Best Interest for Advisers Only

Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and…

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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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