Compliance Archives - Page 11 of 11 - Red Oak Compliance Solutions

Thursday, November 15 2018

CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager

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... [...]

Wednesday, November 14 2018

Conferences and Events Integrations News Partners

Amazing Software, Amazing People – Red Oak Compliance at Seismic Shift 2018.

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... [...]

Thursday, August 23 2018

News

SEC Denies Bitcoin ETF Proposal For The Second Time

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... [...]

Wednesday, August 22 2018

IA Compliance News

Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives,... [...]

Thursday, August 9 2018

IA Compliance News

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance... [...]

Tuesday, August 7 2018

News

Crypto Crackdown

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems... [...]

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CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager - Compliance

CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager

Amazing Software, Amazing People – Red Oak Compliance at Seismic Shift 2018.

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Crypto Crackdown

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