investment adviser Archives - Red Oak Compliance Solutions

Monday, September 14 2020

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who... [...]

Tuesday, August 11 2020

Checklists AdMaster News

Advocating for Technology in the 2021 Budget Process

It’s no secret that budgeting, along with almost every other aspect of business, will be different as a result of the COVID-19 pandemic. For one thing, revenue and expenses are... [...]

Monday, July 20 2020

Checklists BD Compliance 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... [...]

Monday, June 15 2020

News

Charging Performance Fees While Remaining Compliant

For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating... [...]

Monday, January 21 2019

Cybersecurity Checklists News

Cybersecurity Practices Key Focus for FINRA

Submitted by: David Svrcek, Senior Compliance Consultant, Red Oak Compliance Solutions Given the evolving nature, increasing frequency, and sophistication of cybersecurity attacks one can never be too prepared. FINRA has... [...]

Tuesday, January 15 2019

Regulatory Alerts Checklists IA Compliance News

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. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions... [...]

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