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Thursday, August 27 2020

Blog

FINRA Issues Update to Non-Cash Compensation Guidance

Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and... [...]

Monday, July 20 2020

Blog

What You Need to Know About Reg BI

As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these... [...]

Monday, June 15 2020

Blog

Charging Performance Fees While Remaining Compliant

For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating... [...]

Monday, January 21 2019

Checklists Cybersecurity News

Cybersecurity Practices Key Focus for FINRA

Submitted by: David Svrcek, Senior Compliance Consultant, Red Oak Compliance Solutions Given the evolving nature, increasing frequency, and sophistication of cybersecurity attacks one can never be too prepared. FINRA has... [...]

Thursday, December 13 2018

BD Compliance IA Compliance News

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... [...]

Friday, December 14 2018

BD Compliance Checklists IA Compliance

Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership – PART 2

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... [...]

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FINRA Issues Update to Non-Cash Compensation Guidance - finra

Have you updated your firm’s written policies in the light of social distancing and FINRA’s updated guidance?

FINRA Issues Update to Non-Cash Compensation Guidance

What You Need to Know About Reg BI

Charging Performance Fees While Remaining Compliant

Cybersecurity Practices Key Focus for FINRA

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 2

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