This website is intended for informational purposes only. The information published on this website is subject to change without notice. This website should not be regarded as a complete analysis of the subjects discussed. General information about regulations is often insufficient to resolve regulatory problems. Information on this site should not be relied upon as a substitute for legal, tax or accounting advice by a qualified professional. We recommend that you retain a compliance professional (if you do not select the outsourced CCO solution) and/or attorney to provide you with guidance regarding your firm’s specific situation.
A viewer of this website should be aware that securities regulations for registered investment advisors vary by states and the federal government. The information on this website about is general in nature and not specific to any location.
Information provided on this website is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. Red Oak Compliance Solutions assumes no liability or responsibility for any errors or omissions in the content of this website. Under no circumstances and under no legal theory shall Red Oak Compliance Solutions be liable for any damages, whether direct, indirect, incidental, consequential or special arising from an individual’s use of this website.
Viewing or utilizing information on this website, or contacting or responding to our offices or consultants does not create a consulting relationship of any kind. A consulting relationship can be established only after the execution of a written engagement and fee agreement and receipt of any retainer required under such an agreement.
Red Oak Compliance Solutions is not a law firm, attorney, or CPA firm and does not provide legal services or tax advice.
Red Oak Compliance Solutions uses links to other web sites in an effort to assist users in locating information on topics that might be of interest to them. We cannot attest to the accuracy of the information provided on these sites. Red Oak Compliance Solutions has not evaluated or approved of the services found on these links.
There is no guarantee or promise that registration services or compliance consulting work performed by Red Oak Compliance Solutions will be favorably received by the securities regulators and no specific outcome is guaranteed.