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Red Oak Blog

News that affects your business and ours.
 
Cybersecurity Practices Key Focus for FINRA Submitted by: David Svrcek, Senior Compliance Consultant, Red Oak Compliance Solutions Given the evolving nature, increasing frequency, and sophistication of cybersecurity attacks one can never be too prepared. FINRA has a page devoted [...] Read more
SEC Warns RIAs After Failing to Comply With Rules Regarding Electronic Communications OCIE Risk Alert – Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions The SECs exam [...] Read more
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