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Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role - Compliance

 
Thursday, February 11 2021
Blog

Preparing for Regulation Best Interest Exams in 2021

As 2021 starts, we’ve experienced almost a full year of living in a pandemic. Work processes have hopefully streamlined and improved, as you’ve developed ways to work around social/physical distancing... [...]
Tuesday, February 2 2021
Blog

Countdown to Implementation

Have you selected a new SaaS solution for your compliance team? After all the conversations and reviews and vetting, you’ve signed the deal and are ready to put that new... [...]
Monday, January 25 2021
Blog

Modernized Marketing Rule for Investment Advisers

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been... [...]
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