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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.
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
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
Cost of Fraud On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member, Jeffrey Francis Thompson, [...] Read more
Red Oak Compliance Software (“Red Oak”), the leading provider of advertising review software for the financial services industry, will be an exhibiting partner at the upcoming 2019 FINRA Annual Conference in Washington, DC. [...] Read more
FINRA Notice to Members – More Than Just Rules For those who are not aware, as a registered broker dealer there is more than just the FINRA Rules with which you must remain in compliance. Most are aware, but some may not [...] Read more
Too Good to Be True On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment adviser, allegedly lured [...] Read more