Amy Watson, Author at Red Oak Compliance Solutions

Wednesday, November 7 2018

News

The Best Compliance Review Software in the World. PERIOD

Red Oak Compliance Workflow Software is a comprehensive suite of SEC17a-4 compliant features, tailored to meet the evolving needs of financial firms, small and large. For more information about how... [...]

News

Don’t Miss Red Oak Compliance at Seismic Shift – November 7-9th, San Diego.

Stephen Pope, Senior Vice President of Red Oak Compliance will be discussing Books and Records: Regulatory Reporting in the SANDBOX today at 10am PST and tomorrow, Thursday, November 8th at... [...]

Thursday, August 23 2018

News

SEC Denies Bitcoin ETF Proposal For The Second Time

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On July 26, the price of Bitcoin fell 3 percent after the SEC rejected an attempt to create the first... [...]

Wednesday, August 22 2018

IA Compliance News

Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives,... [...]

Thursday, August 9 2018

IA Compliance News

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance... [...]

Tuesday, August 7 2018

News

Crypto Crackdown

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems... [...]

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The Best Compliance Review Software in the World. PERIOD

The Best Compliance Review Software in the World. PERIOD

Don’t Miss Red Oak Compliance at Seismic Shift – November 7-9th, San Diego.

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Crypto Crackdown

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