Speak To A Live Person: 888.302.4594 Request A Demo

New SEC Exam Initiative

Friday, February 21, 2014

Time to get ready for a new era of examination for those Investment Advisers that have been deemed lower risk. Today the Securities and Exchange Commission announced that it is launching an initiative directed at investment advisers that have never been examined before, focusing on those that have been registered with the SEC for three or more years. Please click here to read the complete press release.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

  • Categories

  • Get Started