Amy Watson, Author at Red Oak Compliance Solutions

Thursday, February 14 2019

News

529 Plan Share Class Initiative

Supervision of 529 Savings Plans has become a major focus of FINRA. FINRA has launched a 529 Plan Share Class initiative intended to motivate compliance of 529 Plan rules. FINRA... [...]

Monday, February 11 2019

BD Compliance News

FINRA’s Focus on Elder Abuse

On February 5th, the vice president and associate general counsel at FINRA, James Wrona, said that, “…the next round of exams… [will] look a little more closely” at the efforts... [...]

Monday, January 21 2019

Checklists Cybersecurity News

Cybersecurity Practices Key Focus for FINRA

Submitted by: David Svrcek, Senior Compliance Consultant, Red Oak Compliance Solutions Given the evolving nature, increasing frequency, and sophistication of cybersecurity attacks one can never be too prepared. FINRA has... [...]

News White Papers

White Paper: Red Oak Compliance Software Helping IT Organizations Sleep Better at Night

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... [...]

Tuesday, January 15 2019

Checklists IA Compliance News Regulatory Alerts

SEC Warns RIAs After Failing to Comply With Rules Regarding Electronic Communications

OCIE Risk Alert – Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions... [...]

Thursday, January 10 2019

Conferences and Events News

Red Oak will be at the FINRA RegTech Conference Next Week

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529 Plan Share Class Initiative

529 Plan Share Class Initiative

FINRA’s Focus on Elder Abuse

Cybersecurity Practices Key Focus for FINRA

White Paper: Red Oak Compliance Software Helping IT Organizations Sleep Better at Night

Red Oak will be at the FINRA RegTech Conference Next Week

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