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White Papers
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Compliance Alerts

10 Questions To Ask When Choosing a RegTech Provider

As your company works toward strategic success, the technology you choose plays a pivotal role in your ability to manage services, automate processes, and, ultimately, serve your customers and clients.

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Ongoing Challenges for Compliance Professionals

Compliance professionals are expected to be well-versed on the past; be fully immersed in current issues/trends; and be part of strategic preparations for future success.

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The following whitepapers and documents have proven useful to our clients and prospective clients. They are here for your benefit.

Red Oak Compliance Solutions Releases Smart Review

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Red Oak Compliance Solutions makes REGTECH 100 for 2020

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Red Oak Compliance Solutions makes REGTECH 100 for 2019

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America's fastest-growing private companies for 2020

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America's fastest-growing private companies for 2019

Red Oak Compliance Solutions makes the Inc. 5000 list of America's fastest growing private companies for 2019

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Red Oak Compliance Solutions Celebrates 10th Anniversary

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Regulations change on a daily basis. Take comfort in knowing that Red Oak is monitoring the regulatory industry to keep you informed on the latest rules.

Read the latest compliance alerts and information from the following sources:

Latest FINRA Notices/Rule Filings and SEC Press Releases

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

Thursday, March 4, 2021

The Securities and Exchange Commission today announced the creation of a Climate and ESG Task Force in the Division of Enforcement. The task force will be led by Kelly L.... [...]

SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad

Thursday, March 4, 2021

The Securities and Exchange Commission today announced an award of over $5 million to joint whistleblowers whose tip caused the opening of an investigation that resulted in a successful enforcement... [...]

Regulatory Notice 21-08

Thursday, March 4, 2021

Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “supports@finra-online.com”.... [...]

Regulatory Notice 21-07

Thursday, March 4, 2021

Summary Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional... [...]

SEC Investor Advisory Committee to Meet Remotely On March 11

Wednesday, March 3, 2021

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 11 by remote means. The meeting will begin at 10:00 a.m. ET, is open to the public via... [...]

SEC Division of Examinations Announces 2021 Examination Priorities

Wednesday, March 3, 2021

The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest... [...]

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Derrick Vermillion
Chief Compliance Officer
Impact Partnership

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!

Jim McGuire
Sierra Investment Partners, Inc.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

Neal Falkenberry
Autumn Wind Asset Management, LLC

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

Matt Weber
NV Capital Advisors LLC

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

Susan O’Reilly
Konnect Wealth and Health, LLC

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

Lauri Friel
Director of Compliance
CNL Securities Corp.

Interested in learning more?

10 Questions To Ask When Choosing a RegTech Provider

Ongoing Challenges for Compliance Professionals

Red Oak Compliance Solutions Releases Smart Review

Red Oak Compliance Solutions makes REGTECH 100 for 2020

Red Oak Compliance Solutions makes REGTECH 100 for 2019

America's fastest-growing private companies for 2020

America's fastest-growing private companies for 2019

Red Oak Compliance Solutions Celebrates 10th Anniversary

Latest FINRA Notices/Rule Filings and SEC Press Releases

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad

Regulatory Notice 21-08

Regulatory Notice 21-07

SEC Investor Advisory Committee to Meet Remotely On March 11

SEC Division of Examinations Announces 2021 Examination Priorities

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