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Disclosing your relationship with solicitors

Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were…

Blog: How an Investment Adviser Defrauded Clients

Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully…

Blog: Does Reg BI Violate the Advisers Act

With industry groups failing to take the initiative in challenging the new Regulation Best Interest Advice (Reg BI), Michael Kitces and Alan Moore of XY Planning seek to take on…

Blog: Inc 5000 List of America's Fastest Growing Private Companies for 2019

We are pleased to announce that for the first time, Red Oak Compliance Solutions is on the annual Inc. 5000 list of the nation’s fastest-growing private companies. The magazine today…

Blog: New FINRA Change to Exam Schedules; What does this Mean for Small Firms?

No broker-dealer or investment adviser enjoys spending money on compliance. Let’s face it; it’s an investment that normally doesn’t improve returns. Although a challenge for smaller firms with minimal compliance…

Blog: Leaving the Oven on: Client Account Neglect Can Cost You

We have all done it at least once. Distracted by the game on TV or some urgent phone call, we forget our dinner baking in the oven. Hours later, we…

Blog: Capital One Hack: A Reminder to Practice Online Vigilance

Capital One recently announced a Seattle-based hacker accessed the company’s servers and obtained personal information on millions of credit card holders and applicants. The hack is yet another example that…

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Red Oak Compliance Solutions makes the Inc. 5000 list of America’s fastest growing private companies for 2019

July 3rd – The Securities and Exchange Commission (SEC) announced today that it seeks to align the minimum margin required on security futures with other similar financial products. If the…