Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On July 26, the price of Bitcoin fell 3 percent after the SEC rejected an attempt to create the first…

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,…

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…

  Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems…

By Matthew Edward Regulations present wealth managers, stockbrokers, and other financial professionals with a complex minefield of rules to maneuver through if they want to properly serve investors. Fortunately, regulatory…

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…