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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
Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 2 Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is based on the [...] Read more
December 13 2018
Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being   According to Hedge Fund Research (HFR), a massive data analytics company covering the private fund industry, in 2017, 735 funds were launched, and 784 funds were liquidated. Hedge funds are supposed to [...] Read more
Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 1 Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is based on the [...] Read more
YEAR-END COMPLIANCE CHECKLIST. END 2018 ON A HIGH NOTE. As 2018 comes to a close, it is important that your firm meets its 2018 regulatory obligations and prepares for the upcoming year.  Red Oak has compiled the following checklist to help guide [...] Read more
November 29 2018
Red Oak Compliance Solutions is Moving! Loyalty from clients has fueled continued growth, making a move to a new location necessary. Our business, including website, email, and telephones, will be fully operational and available during the moving process. EFFECTIVE [...] Read more