Compliance Archives - Page 12 of 13 - Red Oak Compliance Solutions

Thursday, December 13 2018

Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being

According to Hedge Fund Research (HFR), a massive data analytics company covering the private fund industry, in 2017, 735 funds were launched, and 784 funds were liquidated. Hedge funds... [...]

Wednesday, December 12 2018

BD Compliance Checklists IA Compliance

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 1

Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is... [...]

Thursday, November 15 2018

Integrations News Partners

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,... [...]

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Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being - Compliance

SEC Takes Action Against Aria Partners GP, LLC

Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 1

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.

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