Amy Watson, Author at Red Oak Compliance Solutions

Thursday, February 25 2016

Hedge Funds- Should they be Registered?

Hedge funds are trendy, and therefore popular investment vehicles. Most hedge funds in the marketplace today are erroneously named and marketed. A hedge fund is a pooled investment where the... [...]

Tuesday, February 23 2016

BD Compliance News

Algorithmic Trading Developers May Be Required to Register

FINRA has filed a proposed rule to require algorithmic trading developers to register as Securities Traders. The proposal would require individuals who design, develop or modify algorithmic trading strategies to... [...]

BD Compliance News

FINRA Exams Look at Compliance Culture

Last month FINRA announced their exam priorities for 2016. One of the more notable priorities was that they would be looking at the firms’ commitment to a strong ethical culture. ... [...]

BD Compliance News

FINRA Updates Written Supervisory Checklist

FINRA updated their Written Supervisory Procedures Checklist this month. This update can be downloaded from the “Written Supervisory Procedures Checklist” link located at the bottom left of the FINRA link... [...]

IA Compliance News

Common Mistakes When Completing Annual ADV Update

Advisers should beware of the following common mistakes made when filing their annual amendment. Overstating or understating your assets under management (Remember you must keep proof of the calculations every... [...]

Sunday, February 7 2016

IA Compliance News

Top Investor Threats

The North American Securities Administrators Association (NASAA) recently released its annual list of top investor threats. The top threats were identified as: Unregistered products/unlicensed salesmen: The offer of securities by... [...]

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Hedge Funds- Should they be Registered?

Hedge Funds- Should they be Registered?

Algorithmic Trading Developers May Be Required to Register

FINRA Exams Look at Compliance Culture

FINRA Updates Written Supervisory Checklist

Common Mistakes When Completing Annual ADV Update

Top Investor Threats

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