We won’t let a pandemic stop us from connecting with our users. Instead, Red Oak brought people together virtually for our second annual User Conference. Through an online gathering, clients…

“Let’s put that in the 2021 compliance technology budget.” “Let’s wait until the beginning of the year.” How often have you heard, or used, that phrase when you’re shopping for…

On September 10, 2020, the SEC issued an order instituting administrative proceedings and cease-and-desist proceedings against Graham, Bordelon, Golson & Gilbert, Inc. (GBGG), along with a civil penalty of $176,399.21,…

2020 hasn’t been ideal, to say the least. A year that started with a booming economy has rapidly disintegrated into a pandemic, a recession and more. Many of us are…

On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who…

On June 30, 2020, the SEC began the enforcement of Regulation Best Interest (“Reg BI”). This guidance requires all SEC-registered investment advisers and broker-dealers to be in compliance with the…