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Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

SEC Charges Investment Advisers and Representatives for Violating the Testimonial Rule Using Social Media and the Internet
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