Amy Watson, Author at Red Oak Compliance Solutions

Monday, December 2 2019

News

Charges Settled for Additional 16 Self-Reporting Advisory Firms

In late September, the SEC announced settlements with 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. This action adds to the original 79 firms... [...]

Tuesday, November 26 2019

News

Red Oak Compliance Solutions Makes the RegTech 100

We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual list recognizes the tech companies transforming... [...]

Tuesday, November 19 2019

Checklists Cybersecurity IA Compliance Regulatory Alerts

Regulatory Audits: 4 Common Deficiencies & 11 Best Practices for Investment Advisers

If you’re a legally registered investment adviser (IA), then you know the end of the year means concentrating on regulatory audits. The North American Securities Administrators Association (NASAA) 2019 IA... [...]

Friday, November 15 2019

News

Red Oak User Conference: Bringing Customers Together

In late October, we held our first Red Oak User Conference at the Omni Hotel in Austin, Texas. With the team usually on the road meeting with customers or attending... [...]

Friday, October 25 2019

BD Compliance Checklists IA Compliance News

Your Relationships With Solicitors

Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were... [...]

Monday, October 14 2019

BD Compliance Checklists IA Compliance

Why Filing Your Forms in a Timely Manner, Matters.

Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing... [...]

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Charges Settled for Additional 16 Self-Reporting Advisory Firms

Charges Settled for Additional 16 Self-Reporting Advisory Firms

Red Oak Compliance Solutions Makes the RegTech 100

Regulatory Audits: 4 Common Deficiencies & 11 Best Practices for Investment Advisers

Red Oak User Conference: Bringing Customers Together

Your Relationships With Solicitors

Why Filing Your Forms in a Timely Manner, Matters.

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