Amy Watson, Author at Red Oak Compliance Solutions

Friday, May 18 2018

Cyber Security

Cyber security, cyber security, cyber security. 10 years ago, it wasn’t even a thing. Now, it is one of the hottest topics in the financial services industry. Unfortunately, these days... [...]

Sunday, May 13 2018

BD Compliance IA Compliance News

Failure to Seek Best Execution Leads to Large Fine

Last month, the Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against PNC Investments LLC (PNCI), a registered investment adviser and broker-dealer, due to violations... [...]

Saturday, May 5 2018

BD Compliance IA Compliance News

Meet “SALI” – The SEC’s Additional Investor Protection Search Tool

On May 2, 2018 the Securities and Exchange Commission announced the launch of an additional online search feature that is designed to enable investors to research whether the person trying... [...]

Saturday, April 28 2018

BD Compliance IA Compliance News

Proposed Best Interest Regulation

In an April 18th Press Release from the Securities and Exchange Commission (SEC) they are seeking public comment (over the next 90 days following publication in the Federal Register) regarding... [...]

Saturday, April 21 2018

AdMaster IA Compliance News

SEC Fines Investment Adviser for False/Misleading Advertising

Pursuant to an order issued April 16, 2018, the SEC (“Commission”) has fined registered Investment Adviser Arlington Capital Management, Inc. (“Arlington”) $125,000 for making false and misleading advertisements in violation... [...]

BD Compliance IA Compliance News

Regulation Best Interest

This biggest issue with the financial services industry is the fact that investment advisers are required to operate at a disadvantage; advisers are defined as a fiduciary while broker dealers... [...]

« Previous Page

Cyber Security

Cyber Security

Failure to Seek Best Execution Leads to Large Fine

Meet “SALI” – The SEC’s Additional Investor Protection Search Tool

Proposed Best Interest Regulation

SEC Fines Investment Adviser for False/Misleading Advertising

Regulation Best Interest

Categories

Get Started