Amy Watson, Author at Red Oak Compliance Solutions

Saturday, January 27 2018

SEC Fines Registered Investment Adviser and Officers for Failure to Disclose Financial Condition to Clients

The SEC has ordered a total of $100,000 in civil penalties to be paid by AmericaFirst Capital Management (“Adviser,” “Firm,” “AFCM”) and related persons, Rick Gonsalves (CEO) and Robert Clark... [...]

Friday, January 26 2018

News

Financial Exploitation of Seniors

Depending on which “side of the isle” you normally sit, it appears there are some who prefer the flexibility to conduct their personal and professional lives in the manner of... [...]

Sunday, January 21 2018

BD Compliance IA Compliance News

Will the SEC Shut Down During a Government Shutdown?

The US Securities and Exchange Commission (SEC) has issued an “Operations Plan Under a Lapse in Appropriations and Government Shutdown” (“Operations Plan”), which describes how the SEC will operate in... [...]

BD Compliance IA Compliance News

SEC Fort Worth Office – Call Notes

A good friend and colleague, Michael Koch, shared his notes with us regarding the recent phone call held by the Fort Worth SEC office. We believe these notes provide valuable... [...]

Saturday, January 20 2018

BD Compliance News

FINRA 2018 Regulatory Exam Priorities

On January 8, 2018, FINRA released a 2018 Regulatory Exam Priorities Letter. The letter highlights specific areas where FINRA will focus their exam priorities and indicates specific areas of opportunity... [...]

Saturday, January 13 2018

BD Compliance IA Compliance News

SEC Chairman Issues Statement on Cryptocurrencies and Initial Coin Offerings

As increasing members of the public invest in cryptocurrencies and initial coin offerings, questions have arisen regarding the SEC’s role in regulating these markets. SEC Chairman Jay Clayton released a... [...]

« Previous Page

SEC Fines Registered Investment Adviser and Officers for Failure to Disclose Financial Condition to Clients

SEC Fines Registered Investment Adviser and Officers for Failure to Disclose Financial Condition to Clients

Financial Exploitation of Seniors

Will the SEC Shut Down During a Government Shutdown?

SEC Fort Worth Office – Call Notes

FINRA 2018 Regulatory Exam Priorities

SEC Chairman Issues Statement on Cryptocurrencies and Initial Coin Offerings

Categories

Get Started