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Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 2

What questions do I ask when hiring a compliance consulting firm? How do I make the final selection?
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! [...] Read more
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
January 10 2019
Hidden Fees Come With a Heavy Price – L&C Form ADV Fail! Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On December 12th, the SEC imposed remedial sanctions and issued a cease and desist order against Wisconsin-based investment adviser and broker-dealer Landaas & [...] Read more
Year-End Compliance Wrap Up   Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly reminders to help [...] Read more
TOP 10 REGULATORY ALERTS FOR 2018 The year 2018 was a surprise in many ways.  There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However, it was business [...] Read more