Cybersecurity Practices Key Focus for FINRA
January 21 2019
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 [...]
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November 15 2018
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! [...]
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June 13 2019
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 [...]
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June 12 2019
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 [...]
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June 8 2019
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 [...]
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May 27 2019
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, [...]
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May 19 2019
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 [...]
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