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News + Insights - Regulatory Alerts

Get the latest industry and Red Oak news here.

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... [...]

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... [...]

Tuesday, November 19 2019

Checklists Cybersecurity IA Compliance Regulatory Alerts

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... [...]

Monday, October 7 2019

BD Compliance IA Compliance News Regulatory Alerts

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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