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Red Oak Blog

News that affects your business and ours.
 
January 10 2019
Hidden Fees Come With a Heavy Price – L&C Form ADV Fail! Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On December 12th, the SEC imposed remedial sanctions and issued a cease and desist order against Wisconsin-based investment adviser and broker-dealer Landaas & [...] Read more
Year-End Compliance Wrap Up   Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly reminders to help [...] Read more
January 21 2019
White Paper: Red Oak Compliance Software Helping IT Organizations Sleep Better at Night   As an IT leader, read the following narrative and see if it sounds familiar. Recently, during a cross-functional project meeting, one of the top departmental executives submitted a project proposal to the [...] Read more
TOP 10 REGULATORY ALERTS FOR 2018 The year 2018 was a surprise in many ways.  There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However, it was business [...] Read more