News + Insights
April 7 2020
Red Oak Compliance Solutions Celebrates 10th Anniversary
This March marked 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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April 6 2020
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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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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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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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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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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