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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... [...] Read more
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... [...] Read more
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... [...] Read more
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.... [...] Read more
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... [...] Read more
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... [...] Read more