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
As an IT leader, read the following narrative and see if it sounds familiar. Recently, during a cross-functional project meeting, one of the top departmental executives submitted a project
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,
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
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
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
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
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
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 more information about how Red Oak Compliance Workflow Software can help your firm to minimize risk, reduce costs, and increase efficiencies in your compliance review process please download a
Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions It was an exciting time last week for our Partner Seismic. Our team at Red Oak had the opportunity
On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who…
On June 30, 2020, the SEC began the enforcement of Regulation Best Interest (“Reg BI”). This guidance requires all SEC-registered investment advisers and broker-dealers to be in compliance with the…
As the country still reels from the effects of the pandemic, the relentless assault of cybercriminals has not slowed. And, with many people continuing to work online from home (66…
Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and…
The past year has included a fair amount of economic uncertainty, impacting businesses trying to plan for the future and properly equip their teams. We’ve talked to teams who wonder…
These are unusual times at best. Many Americans, and many people around the world for that matter, are feeling scared, stressed, and frustrated. According to the National Endowment for Financial…
As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of
For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating…
Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts. In order to best serve the needs of the business, and…
Physical and financial health are both top of mind in a crisis situation like the pandemic the world is currently facing. While flattening the curve and limiting the spread of…
Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals….
New SEC Guidance Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs Cash sweep accounts can provide broker-dealers a convenient way to support their clients and ensure they’re wisely…
