Where We’ll Be

WHERE WE’RE HEADED:

IAA Investment Advisor Compliance Conference
March 6-8, 2024 | Washington, DC

The IAA’s Compliance Conference is a comprehensive, two-day, in-person program providing investment advisers with the most current information on the changing regulatory landscape. The program features speakers who are experts in their fields, including SEC officials, in-house legal counsel, and compliance officers, partners with leading law firms, and the IAA legal team. Most sessions will be recorded and available to all registered attendees after the conference.

Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.

Continuing education credit will be available.

Visit Event Page

2022 Annual Conference
April 17-19, 2024 | Palm Desert, CA

Network with other insurance professionals to gain insight and understanding of insurance advertising issues.

The organization specifically focuses on how marketing, legal and compliance individuals can work together in support of insurance advertising compliance to create a number of benefits for themselves and the industry.

Visit Event Page

2024 Annual Conference
May 14-16, 2024 | Washington, DC

FINRA’s premier event—the Annual Conference allows practitioners, peers, and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management, and much more.

Visit Event Page

Financial Markets Association Securities Compliance Seminar

May 3-5, 2024

This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants and are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory hot button priorities.

Visit Event Page

Annual Conference
June 3-5, 2024 | Sarasota, FL

ARM came into existence in 1975\ when there was a great need for uniformity and simplification of registration procedures in the securities industry. Today, thanks partly to the tenacious attitude of the people representing ARM, the securities industry experiences a cost-effective and efficient way to comply with the rules, regulations, and laws that govern individuals and firms selling securities. ARM is not just a “lobby” group. We also believe it is extremely important to have available all information that directly affects the operation of any registration department.

Visit Event Page

Regulatory Compliance Conference
June 11-14, 2024 | Seattle, WA

It’s time to bring back face-to-face conversations on compliance and upgrade how you navigate evolving challenges. Dive into practical and late-breaking analysis on compliance, regulatory changes, and advocacy with top experts.

Visit Event Page

2024 Global RegTech Summit | New York

Don’t miss the largest RegTech event where compliance leaders converge. Secure your place for our second edition in New York and shape the future of RegTech.

Visit Event Page

2024 FINRA Small Firm Conference
October 9-10, 2024 | Chicago, IL

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

Visit Event Page

2024 National Conference | Diamond Sponsor
October 27-30, 2024 | Dallas, TX

Network and focus on practical solutions to empower yourself and your compliance program. From discussing best practices for implementing regulatory changes to exploring the benefits of diversity and inclusion, attendees will receive great insight and practical tools to take back to their firms. Whether hearing from expert panels, engaging in hands-on learning in labs, or sharing with other compliance professionals in forums and talk groups, we’re confident you’ll leave the National Conference more prepared for the future.

Visit Event Page

More to come in 2024. Stay tuned and we’ll see you soon!

Testimonials

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!