Reg BI Archives - Red Oak Compliance Solutions

Monday, December 27 2021

New Year, New Rules.

Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious... [...]

Thursday, February 11 2021

News

Preparing for Regulation Best Interest Exams in 2021

As 2021 starts, we’ve experienced almost a full year of living in a pandemic. Work processes have hopefully streamlined and improved, as you’ve developed ways to work around social/physical distancing... [...]

Thursday, September 17 2020

News

Ongoing Compliance Impacts Following COVID-19

2020 hasn’t been ideal, to say the least. A year that started with a booming economy has rapidly disintegrated into a pandemic, a recession and more. Many of us are... [...]

Monday, July 20 2020

BD Compliance Checklists 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... [...]

Friday, July 26 2019

News Regulatory Alerts

CFP Board Delays Fiduciary Standard Enforcement

The Certified Financial Planner Board of Standards Inc. approved a new code of ethics and standards of conduct in 2018. Enforcement of their “expanded fiduciary standard” for financial advisers and... [...]

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