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Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to…
Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and…
As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain…
Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010…
We currently have a need for an Enterprise SaaS Implementation Consultant. Please take the time to review the description, requirements, and responsibilities. Feel like you are a good fit? Send…
Last month, the SEC voted to propose amendments to the definition of “accredited investor,” opening new avenues to previously underserved investors who have (or should have) the knowledge and expertise…
Over the past year, the SEC renewed its commitment to focus on protecting our senior citizens from abuse and financial exploitation. As fiduciaries, Investment Advisers (IAs) must act in the…
The annual renewal season for firms has begun. It’s time to ensure that you and all representatives are registered appropriately in every jurisdiction needed. Unlike the proverbial lump of coal…
In late September, the SEC announced settlements with 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. This action adds to the original 79 firms…
We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual list recognizes the tech companies transforming…
In late October, we held our first Red Oak User Conference at the Omni Hotel in Austin, Texas. With the team usually on the road meeting with customers or attending…
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