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

RIA Compliance
February 19 2020
2020 Advertising Review Software Challenges & Red Oak Solutions As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain... [...] Read more
2020 OCIE Priorities If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may... [...] Read more
January 29 2020
FINRA Fines Prudential $1M for Wrong Info on Fees in Retirement Plans Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010... [...] Read more
January 28 2020
Work at Red Oak as an Enterprise SaaS Implementation Consultant We currently have a need for an Enterprise SaaS Implementation Consultant.  Please take the time to review the description, requirements, and responsibilities. Feel like you are a good fit? Send... [...] Read more
January 17 2020
SEC Proposes New Accredited Investor Definition Last month, the SEC voted to propose amendments to the definition of “accredited investor,” opening new avenues to previously underserved investors who have (or should have) the knowledge and expertise... [...] Read more
Adviser’s Road to a Retiree Ruse Over the past year, the SEC renewed its commitment to focus on protecting our senior citizens from abuse and financial exploitation. As fiduciaries, Investment Advisers  (IAs) must act in the... [...] Read more