broker-dealers Archives - Red Oak Compliance Solutions

Tuesday, May 30 2023

Blog

Regulation, Regulation and More Regulation

The financial services industry is one of the most regulated in the U.S., and all indications show that regulatory oversight will continue to increase. Although most states have yet to... [...]

Friday, May 13 2022

Blog

Is Your Organization Prepared for the Future of Compliance?

Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before.  Regulations... [...]

Tuesday, April 12 2022

Blog

Heading Into the Busy Season: What to Keep in Mind

The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the... [...]

Tuesday, January 18 2022

Blog

Should Your Advisory Fees Be a Market Differentiator?

In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced... [...]

Monday, January 10 2022

Blog

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]

Thursday, January 6 2022

Blog

Vendor Recordkeeping Lapses Lead to $1.2 Million in Fines

Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology... [...]

Regulation, Regulation and More Regulation - broker-dealers

Regulation, Regulation and More Regulation

Is Your Organization Prepared for the Future of Compliance?

Heading Into the Busy Season: What to Keep in Mind

Should Your Advisory Fees Be a Market Differentiator?

Don’t Text and Trade

Vendor Recordkeeping Lapses Lead to $1.2 Million in Fines

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