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Vendor Recordkeeping Lapses Lead to $1.2 Million in Fines  - broker-dealers

 
Monday, December 27 2021
Checklists News

New Year, New Rules.

Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome.   We’re not telling you anything you don’t already know.   One thing that makes regulatory compliance tedious... [...]
Tuesday, November 9 2021
News

Red Oak COO Cathy Vasilev Honored among Inspiring Women Leaders

In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams.   Among her many responsibilities, Cathy oversees software implementations... [...]
Wednesday, November 3 2021
Checklists

Managing Your Annual Compliance Checklist

2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place.   With everyone trying to resume life as normal while... [...]
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