Speak To A Live Person: 888.302.4594 Request A Demo

Recent SEC Activities

Tuesday, August 25, 2015

Are you aware of the recent SEC activity relating to investment advisers? The Securities and Exchange Commission (“SEC”) is now looking into advisory firms’ liquidity risk management in current exams. In addition, the SEC’s Chicago regional office has sent out a sweep aimed at gathering data to determine how advisers are handling liquidity risk and the Boston office recently sent out a sweep to dig into firms’ whistleblower policies.

Knowing what is going on in the SEC exam program nationwide can help firms to be better prepared when their turn comes for an exam. If you have not had an exam recently, it’s a good idea to do a gap analysis or mock audit to make sure you are ready, from that first phone call throughout the entire audit process.

If you need any assistance in preparing for an audit, give us a call. Red Oak is ready and able to help you evaluate your current compliance program.

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. 

  • Categories

  • Get Started