Amy Watson, Author at Red Oak Compliance Solutions

Monday, April 16 2018

AML Officer and CEO Fined for AML Violations

Last month, the SEC instituted cease and desist proceedings against an AML Officer and CEO of a New York-based investment adviser and broker-dealer due to violations of the Securities Exchange... [...]

Saturday, April 7 2018

BD Compliance IA Compliance News

SEC Institutes a Public Administrative Proceeding for Failure to Supervise

An important part of the implementation of any compliance program is the supervision of the firm’s employees and associated persons. A firm’s compliance manual should address policies and procedures that... [...]

IA Compliance News

SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients

Today the SEC announced that three advisers have settled charges for breaching fiduciary duties. Per the SEC, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. failed... [...]

Saturday, March 17 2018

BD Compliance IA Compliance News

Are you applying Due Diligence?

In 13 years acting as an auditor in the securities regulation industry it was surprising to find out how few in the industry conducted, and documented, due diligence of the... [...]

Sunday, March 11 2018

BD Compliance News

Proposed New Rule for Outside Business Activities and Private Securities Transactions

FINRA is requesting comments on a proposed new rule for outside business activities and private securities transactions of registered persons. This proposed rule would replace FINRA Rule 3270 (Outside Business... [...]

IA Compliance News

SEC Fines Adviser for Custody Rule Violations

The Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against Financial Fiduciaries, LLC, (“Financial Fiduciaries”) a registered investment adviser located in Wausau, Wisconsin, and Thomas... [...]

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AML Officer and CEO Fined for AML Violations

AML Officer and CEO Fined for AML Violations

SEC Institutes a Public Administrative Proceeding for Failure to Supervise

SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients

Are you applying Due Diligence?

Proposed New Rule for Outside Business Activities and Private Securities Transactions

SEC Fines Adviser for Custody Rule Violations

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