investors Archives - Red Oak Compliance Solutions

Thursday, June 9 2022

Blog

SEC Proposes Changes to Names Rule Related to ESG Funds

What’s in a name? The SEC has found that it’s more than you might think. In 2001, the Commission put in place the Names Rule, which requires that funds’ names... [...]

Thursday, September 30 2021

Blog

How To Align Compliance with Content Operations to Navigate the Regulatory Maze

By Guest Contributor and Author: Brett Molotsky, VP of Industry Solutions at Aprimo Financial services organizations know a thing or two about pressure. Risk management, regulatory policy, the burdens of... [...]

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... [...]

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... [...]

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

Tuesday, August 7 2018

News

Crypto Crackdown

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems... [...]

SEC Proposes Changes to Names Rule Related to ESG Funds - investors