investment adviser Archives - Page 5 of 6 - Red Oak Compliance Solutions

Tuesday, August 11 2020

Advocating for Technology in the 2023 Budget Process

The past year has included a fair amount of economic uncertainty, impacting businesses trying to plan for the future and properly equip their teams. We’ve talked to teams who wonder... [...]

Monday, July 20 2020

BD Compliance Checklists IA Compliance News

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

News

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... [...]

News White Papers

White Paper: Red Oak Compliance Software Helping IT Organizations Sleep Better at Night

As an IT leader, read the following narrative and see if it sounds familiar. Recently, during a cross-functional project meeting, one of the top departmental executives submitted a project... [...]

Tuesday, January 15 2019

Checklists IA Compliance News Regulatory Alerts

SEC Warns RIAs After Failing to Comply With Rules Regarding Electronic Communications

OCIE Risk Alert – Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions... [...]

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Advocating for Technology in the 2023 Budget Process - investment adviser

Are you prepared to get the resources you need for the upcoming year?