finra Archives - Page 4 of 5 - Red Oak Compliance Solutions

Friday, December 11 2020

Make Sure Your Written Supervisory Procedures/Compliance Manual Is In Great Shape

One item regulators focus on during almost every audit process is the written supervisory procedures/compliance manual. With this in mind, you’d think having these guidelines in tip-top shape would be... [...]

Monday, October 26 2020

BD Compliance IA Compliance News

Why Online Isn’t the End-All, Be-All for Your Due Diligence Research

When your team is working through the due diligence process, it can be time-consuming. The internet can feel like a godsend, a place where you can access a great deal... [...]

Wednesday, October 21 2020

BD Compliance Checklists IA Compliance News

A Winning Process for Conducting Product Due Diligence

You want to be on the ball with your clients, to give them the best possible advice and guidance to secure their futures. To do so, you need a strong... [...]

Thursday, September 17 2020

News

Ongoing Compliance Impacts Following COVID-19

2020 hasn’t been ideal, to say the least. A year that started with a booming economy has rapidly disintegrated into a pandemic, a recession and more. Many of us are... [...]

Thursday, August 27 2020

BD Compliance IA Compliance News Regulatory Alerts

FINRA Issues Update to Non-Cash Compensation Guidance

Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and... [...]

Monday, July 20 2020

BD Compliance Checklists IA Compliance News

What You Need to Know About Reg BI

As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these... [...]

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