Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance
SEC Charges Investment Advisers and Representatives for Violating the Testimonial Rule Using Social Media and the Internet
August 23 2018
SEC Denies Bitcoin ETF Proposal For The Second Time
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On July 26, the price of Bitcoin fell 3 percent after the SEC rejected an attempt to create the first cryptocurrency-based ETF. This [...]
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August 22 2018
Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance
Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives, and a marketing [...]
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August 9 2018
Investment Adviser Fined for Insufficient Conflict of Interest Disclosures
Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance with SEC Rules [...]
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August 7 2018
Crypto Crackdown
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems known as cryptocurrencies. [...]
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July 26 2018
Simplifying Compliance for Investment Advisors – An Interview with Cathy Vasilev, Senior Vice President, Red Oak Compliance Solutions
By Matthew Edward Regulations present wealth managers, stockbrokers, and other financial professionals with a complex minefield of rules to maneuver through if they want to properly serve investors. Fortunately, regulatory requirements can be [...]
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