Amy Watson, Author at Red Oak Compliance Solutions

Monday, October 7 2019

BD Compliance IA Compliance News Regulatory Alerts

Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients?

Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the... [...]

Friday, September 27 2019

News

A Special Opportunity: How an Investment Adviser Defrauded Clients

Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully... [...]

Monday, September 23 2019

BD Compliance IA Compliance News

Does Reg BI Violate the Advisers Act?

With industry groups failing to take the initiative in challenging the new Regulation Best Interest Advice (Reg BI), Michael Kitces and Alan Moore of XY Planning seek to take on... [...]

Friday, August 30 2019

IA Compliance

Acting as Fiduciaries: One Investment Adviser Ignores Compliance for Personal Gain

As fiduciaries, Investment Advisers know they are ethically and legally obligated to place the interests of clients ahead of their own. Advisers also understand that the SEC provides oversight to... [...]

Thursday, August 22 2019

Checklists IA Compliance

Growth & Supervision

One perk of being a smaller investment firm is not having to stress over the supervision of multiple registered investment adviser representatives (IARs). However, with growth comes increased responsibility, especially... [...]

Wednesday, August 14 2019

News

Red Oak Compliance Solutions Makes the Inc. 5000 List of America’s Fastest-Growing Private Companies for 2019

We are pleased to announce that for the first time, Red Oak Compliance Solutions is on the annual Inc. 5000 list of the nation’s fastest-growing private companies. The magazine today... [...]

« Previous Page

Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients?

Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients?

A Special Opportunity: How an Investment Adviser Defrauded Clients

Does Reg BI Violate the Advisers Act?

Acting as Fiduciaries: One Investment Adviser Ignores Compliance for Personal Gain

Growth & Supervision

Red Oak Compliance Solutions Makes the Inc. 5000 List of America’s Fastest-Growing Private Companies for 2019

Categories

Get Started