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,…
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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…
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…
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…
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…
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