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Hidden Fees Come With a Heavy Price – L&C Form ADV Fail!

RIA Compliance
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
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
Too Good to Be True On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment adviser, allegedly lured [...] Read more
Investment Adviser as Fiduciary Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security Act (the definition [...] Read more
Investment Advisers and Annual Filings If you have yet to submit, or at least begin, your annual amendment, time is running out. Remember, whether you are State or SEC registered, your annual amendment is due 30 days from [...] Read more
February 14 2019
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
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