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 [...] Read more

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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! [...] Read more

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529 Plan Share Class Initiative Supervision of 529 Savings Plans has become a major focus of FINRA. FINRA has launched a 529 Plan Share Class initiative intended to motivate compliance of 529 Plan rules. FINRA recommends that firms [...] Read more

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FINRA’s Focus on Elder Abuse On February 5th, the vice president and associate general counsel at FINRA, James Wrona, said that, “…the next round of exams… [will] look a little more closely” at the efforts of broker-dealers to [...] Read more

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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 a page devoted [...] Read more

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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 The SECs exam [...] Read more

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Red Oak will be at the FINRA RegTech Conference Next Week [...] Read more

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