Amy Watson, Author at Red Oak Compliance Solutions

Monday, August 31 2020

Is Your Firm at Risk of a Cyber Attack?

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... [...]

Thursday, August 27 2020

BD Compliance IA Compliance News Regulatory Alerts

FINRA Issues Update to Non-Cash Compensation Guidance

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... [...]

Tuesday, August 11 2020

AdMaster Checklists News

Advocating for Technology in the 2023 Budget Process

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... [...]

Tuesday, July 28 2020

News

Supporting Client Needs and Protecting Their Interests During Tough Times

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... [...]

Monday, July 20 2020

BD Compliance Checklists IA Compliance News

What You Need to Know About Reg BI

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 these... [...]

Monday, June 15 2020

News

Charging Performance Fees While Remaining Compliant

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... [...]

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Is Your Firm at Risk of a Cyber Attack?

Learn how your firm can protect itself against cybersecurity threats.

Is Your Firm at Risk of a Cyber Attack?

FINRA Issues Update to Non-Cash Compensation Guidance

Advocating for Technology in the 2023 Budget Process

Supporting Client Needs and Protecting Their Interests During Tough Times

What You Need to Know About Reg BI

Charging Performance Fees While Remaining Compliant

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