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

SEC Takes Action Against Aria Partners GP, LLC

Thursday, December 13 2018

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... [...]

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... [...]

Thursday, November 29 2018

News

Red Oak Compliance Solutions is Moving!

Loyalty from clients has fueled continued growth, making a move to a new location necessary. Our business, including website, email, and telephones, will be fully operational and available during the... [...]

Thursday, November 15 2018

Integrations News Partners

CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager

Check out the integrated Compliance Workflow and Content Management solution one of our partner’s, Synthesis Technology, completed for a Leading Global Asset Manager. A big thanks to everyone at Synthesis... [...]

Wednesday, November 7 2018

News

Don’t Miss Red Oak Compliance at the 2018 FINRA Small Firm Conference – November 7-8th, San Diego.

For more information about how Red Oak Compliance Workflow Software can help your firm to minimize risk, reduce costs, and increase efficiencies in your compliance review process please download a... [...]

Wednesday, November 14 2018

Conferences and Events Integrations News Partners

Amazing Software, Amazing People – Red Oak Compliance at Seismic Shift 2018.

Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions It was an exciting time last week for our Partner Seismic. Our team at Red Oak had the opportunity... [...]

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