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Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On December 12th, the SEC imposed remedial sanctions and issued a cease and desist order against Wisconsin-based investment adviser and…
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly…
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…
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…
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…
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…
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…
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…
Red Oak Compliance Workflow Software is a comprehensive suite of SEC17a-4 compliant features, tailored to meet the evolving needs of financial firms, small and large. For more information about how…
Stephen Pope, Senior Vice President of Red Oak Compliance will be discussing Books and Records: Regulatory Reporting in the SANDBOX today at 10am PST and tomorrow, Thursday, November 8th at…
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…
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