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OCIE Observations on Cybersecurity and Resiliency Practices On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken... [...] Read more
COVID-19 | Does it Change Ad Review and Compliance? Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to... [...] Read more
February 28 2020
Regulation Best Interest for Advisers Only Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and... [...] Read more
Regulation Best Interest: What to Know as a Dual Registrant On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses... [...] Read more
February 19 2020
2020 Advertising Review Software Challenges & Red Oak Solutions As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain... [...] Read more
2020 OCIE Priorities If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may... [...] Read more