June 5, 2016 - Red Oak Compliance Solutions

Sunday, June 5 2016

Focus on Cyber-security – It’s not going away

We have recently received many inquiries as to how firms should approach the growing focus on Cybersecurity. Unfortunately, the answer often is the dreaded – It depends. Neither FINRA nor... [...]

BD Compliance IA Compliance News

Anti-Money Laundering

FINRA member broker-dealers and mutual fund/investment companies operate under extensive anti-money laundering (“AML”) rules and regulations. Although the regulations under which these firms operate can be quite burdensome, they are... [...]

BD Compliance IA Compliance News

DOL Retirement Advice Fact Sheet

Many investment professionals, consultants, brokers, insurance agents and other advisers operate within compensation structures that are not aligned with their customers’ interests and often create strong incentives to steer customers... [...]

News

Rule Change to Require Registration as Securities Traders of Associated Persons

On February 11, 2016, FINRA filed with the SEC a proposed rule change to require registration as Securities Traders of associated persons primarily responsible for the design, development or significant... [...]

News

Rough Seas Ahead of Robo-advisors?

The Massachusetts Securities Division (the “Division”) recently published an interesting statement on Robo-advisers seeking state investment adviser registration in Massachusetts. Robo-advisers have flooded the market offering low-cost portfolio management through... [...]

Focus on Cyber-security – It’s not going away

Focus on Cyber-security – It’s not going away

Anti-Money Laundering

DOL Retirement Advice Fact Sheet

Rule Change to Require Registration as Securities Traders of Associated Persons

Rough Seas Ahead of Robo-advisors?

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