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Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 1 - IA Compliance

Why do I need a compliance consulting firm? Where are the best resources to find one?

Wednesday, December 12 2018

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 1

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... [...]

Tuesday, December 4 2018

BD Compliance Checklists IA Compliance News

YEAR-END COMPLIANCE CHECKLIST. END 2018 ON A HIGH NOTE.

As 2018 comes to a close, it is important that your firm meets its 2018 regulatory obligations and prepares for the upcoming year. Red Oak has compiled the following checklist... [...]

Wednesday, August 22 2018

IA Compliance News

Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives,... [...]

Thursday, August 9 2018

IA Compliance News

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance... [...]

Saturday, July 21 2018

BD Compliance IA Compliance

Resources

A common complaint from individuals working in the financial services industry is the lack of resources and guidance from the regulatory industry. To most it feels like the regulators do... [...]

Saturday, June 23 2018

BD Compliance IA Compliance News

Crypto Investment – Many Questions Remain

With the rapid growth of the crypto currency industry, many questions remain. One primary concern is just how are coins/tokens being issued, distributed and sold and how are federal securities... [...]

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