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Growth & Supervision One perk of being a smaller investment firm is not having to stress over the supervision of multiple registered investment adviser representatives (IARs). However, with growth comes increased responsibility, especially... [...] Read more
August 14 2019
Red Oak Compliance Solutions Makes the Inc. 5000 List of America’s Fastest-Growing Private Companies for 2019 We are pleased to announce that for the first time, Red Oak Compliance Solutions is on the annual Inc. 5000 list of the nation’s fastest-growing private companies. The magazine today... [...] Read more
New FINRA Change to Exam Schedules: What Does This Mean for Small Firms? No broker-dealer or investment adviser enjoys spending money on compliance. Let’s face it; it’s an investment that normally doesn’t improve returns. Although a challenge for smaller firms with minimal compliance... [...] Read more
Leaving The Oven On: Client Account Neglect Can Cost You We have all done it at least once. Distracted by the game on TV or some urgent phone call, we forget our dinner baking in the oven. Hours later, we... [...] Read more
Capital One Hack: A Reminder to Practice Online Vigilance Capital One recently announced a Seattle-based hacker accessed the company’s servers and obtained personal information on millions of credit card holders and applicants. The hack is yet another example that... [...] Read more
CFP Board Delays Fiduciary Standard Enforcement The Certified Financial Planner Board of Standards Inc. approved a new code of ethics and standards of conduct in 2018.  Enforcement of their “expanded fiduciary standard” for financial advisers and... [...] Read more