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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 a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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