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CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager

Investment Adviser as Fiduciary Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security Act (the definition [...] Read more
Investment Advisers and Annual Filings If you have yet to submit, or at least begin, your annual amendment, time is running out. Remember, whether you are State or SEC registered, your annual amendment is due 30 days from [...] Read more
February 14 2019
529 Plan Share Class Initiative Supervision of 529 Savings Plans has become a major focus of FINRA. FINRA has launched a 529 Plan Share Class initiative intended to motivate compliance of 529 Plan rules. FINRA recommends that firms [...] Read more
FINRA’s Focus on Elder Abuse On February 5th, the vice president and associate general counsel at FINRA, James Wrona, said that, “…the next round of exams… [will] look a little more closely” at the efforts of broker-dealers to [...] Read more
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