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Amazing Software, Amazing People – Red Oak Compliance at Seismic Shift 2018.

 
Zen Master’s Crypto: Celebrity Endorsements Require Disclosures Joining a list of other celebrities to jump into the financial investment or fintech space, action movie star Steven Seagal is one that also faced charges for nondisclosure of compensation.... [...] Read more
Making the Cut: Factors for Registrant Examination Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted... [...] Read more
OCIE Observations on Cybersecurity and Resiliency Practices On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken... [...] Read more
COVID-19 | Does it Change Ad Review and Compliance? Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to... [...] Read more
February 28 2020
Regulation Best Interest for Advisers Only Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and... [...] Read more
Regulation Best Interest: What to Know as a Dual Registrant On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses... [...] Read more