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

Thursday, December 27 2018

BD Compliance IA Compliance News Regulatory Alerts

TOP 10 REGULATORY ALERTS FOR 2018

The year 2018 was a surprise in many ways. There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However,... [...]

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... [...]

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... [...]

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

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... [...]

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TOP 10 REGULATORY ALERTS FOR 2018 - investment adviser

The SEC spent 2018 focused on a more rigorous exam schedule and record numbers of enforcement actions.