Amy Watson, Author at Red Oak Compliance Solutions

Monday, April 6 2020

BD Compliance Cybersecurity IA Compliance News

COVID-19 Cyber Safety for Our Clients

These past few weeks continues to present us with unprecedented personal and professional challenges. During this time, the Red Oak team remains committed to prioritizing the safety of our employees... [...]

Tuesday, March 31 2020

News

Zen Master’s Crypto: Celebrity Endorsements Require Disclosures

Joining a list of other celebrities to jump into the financial investment or fintech space, action movie star Steven Seagal is one that also faced charges for nondisclosure of compensation.... [...]

Monday, March 30 2020

BD Compliance IA Compliance

Making the Cut: Factors for Registrant Examination

Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted... [...]

Friday, March 27 2020

Cybersecurity

OCIE Observations on Cybersecurity and Resiliency Practices

On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken... [...]

Tuesday, March 24 2020

IA Compliance News

COVID-19 | Does it Change Ad Review and Compliance?

Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to... [...]

Friday, February 28 2020

News

Regulation Best Interest for Advisers Only

Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and... [...]

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COVID-19 Cyber Safety for Our Clients

Actions you can take to reduce the chances of falling prey to cyber-criminals and scammers.

COVID-19 Cyber Safety for Our Clients

Zen Master’s Crypto: Celebrity Endorsements Require Disclosures

Making the Cut: Factors for Registrant Examination

OCIE Observations on Cybersecurity and Resiliency Practices

COVID-19 | Does it Change Ad Review and Compliance?

Regulation Best Interest for Advisers Only

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