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Cost of Fraud - BD Compliance

Wednesday, February 13 2019

Cost of Fraud

On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member,... [...]

Thursday, January 10 2019

BD Compliance IA Compliance News

Hidden Fees Come With a Heavy Price – L&C Form ADV Fail!

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On December 12th, the SEC imposed remedial sanctions and issued a cease and desist order against Wisconsin-based investment adviser and... [...]

Friday, December 28 2018

BD Compliance Checklists IA Compliance News

Year-End Compliance Wrap Up

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly... [...]

Thursday, December 27 2018

BD Compliance IA Compliance News Regulatory Alerts

TOP 10 REGULATORY ALERTS FOR 2018

The year 2018 was a surprise in many ways. There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However,... [...]

Thursday, December 13 2018

BD Compliance IA Compliance News

Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being

According to Hedge Fund Research (HFR), a massive data analytics company covering the private fund industry, in 2017, 735 funds were launched, and 784 funds were liquidated. Hedge funds... [...]

Friday, December 14 2018

BD Compliance Checklists IA Compliance

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 2

Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is... [...]