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Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

DVU fined by SEC for failure to make full and fair disclosures
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
CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager Check out the integrated Compliance Workflow and Content Management solution one of our partner’s, Synthesis Technology, completed for a Leading Global Asset Manager.  A big thanks to everyone at Synthesis for the collaboration! [...] Read more
Stephen Pope Speaks at TSAM Red Oak founder, Stephen Pope, hosted a discussion titled “The Marketing Review Journey: The Untold Stories” at the TSAM Conference in New York. The session highlighted the genesis of marketing review requirements, the [...] Read more
Red Oak at TSAM in New York Red Oak Compliance Solutions is New York bound for the TSAM Conference in NY! Visit with Carmela Ravi and Stephen Pope at our booth to learn how we can help you optimize your [...] Read more
Regulation Best Interest, adopted Form CRS On June 4, 2019, the SEC issued a number of sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. In an effort to curb [...] Read more
Updating Policies and Procedures for Network Storage When Safeguarding Customer Records and Information Employing network storage solutions, including security features offered by third-party cloud-storage providers, to safeguard customer records and information has increasingly become a part of many broker-dealer and investment adviser business operations. When designing, [...] Read more
SEC Exam Priorities In December 2018, the SEC issued its 2019 examination priorities for 2019. Due to the government shutdown from December 2018 through January 2019 the SEC was late getting started with its examination schedule [...] Read more