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Testimonials in Social Media - IA Compliance

What Investment Advisers need to know to handle the review process

Monday, February 8 2021

Testimonials in Social Media

Do testimonials work? The data says they do across many industries, and it’s because people are so connected. Ninety-two percent of buyers read testimonials online before making a purchase, and... [...]

Tuesday, March 24 2020

Blog IA Compliance

COVID-19 | Does it Change Ad Review and Compliance?

Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to... [...]

Wednesday, February 13 2019

BD Compliance IA Compliance

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,... [...]