Intelligent compliance software suite for ad review, disclosure management, website monitoring, internet supervision, registration management, and more.
Austin, Texas
Joined July 2013
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Red Oak Compliance Solutions retweeted
Recently, the IAA submitted comments on the SEC’s proposal to shorten the standard settlement cycle for most broker-dealer transactions from T+2 to T+1. IAA General Counsel Gail Bernstein discusses what this proposal means for you: youtu.be/RgEDOtdym-8
Red Oak Compliance Solutions retweeted
We are #hiring a Meetings & Events Coordinator. A full job description and information on how to apply is available on our website: ow.ly/UYu150INEsp
Red Oak Compliance Solutions retweeted
Save the date: Data and Connectivity Symposium March 1 @ 11 a.m. EST. Join academics, technical experts, and industry practitioners to explore and discuss key developments with innovation in the banking industry: go.usa.gov/xtGRp #dataconnectivity
ALT Data and Connectivity Symposium Tuesday March 1, 2022, 11:00 AM to - 5:00 PM (EST) https://www.federalreserve.gov https://www.youtube.com/federalreserve
Red Oak Compliance Solutions retweeted
We are hiring a Vice President, Finance & Operations. A full job description and information on how to apply is available on our website: ow.ly/EmCb50HtWhA
Red Oak Compliance Solutions retweeted
Day 23 of our 24 Days of #Christmas brings us predictions for #regulatorychange in 2022. At our #webinar 'Regulatory Changement Management: What's on the horizon?' we asked our attendees what theme they think will #impact their organisation the most in 2022.
What do you think?
Red Oak Compliance Solutions retweeted
"Life insurance sales to individuals surged 18% through the first three quarters of 2021 from a year ago, the largest increase in 25 years, according to @Limra."
lifeannuityspecialist.com/c/…
Red Oak Compliance Solutions retweeted
With the ability to use existing data from multiple sources, AWS IoT TwinMaker enables you to create virtual representations of any physical environment with real-world data.
More > go.aws/3rxzrGI @awscloud via @antgrasso #AWSPartner #reInvent #IIoT #IoT #DigitalTwin
Red Oak Compliance Solutions retweeted
Join us on Dec. 9 for a Firm Grouping Member Forum. This free virtual event gives financial professionals associated with FINRA member firms the chance to engage in key discussions with our staff and connect with industry leaders and peers.
Register ▶️ bit.ly/302wcvo
Red Oak Compliance Solutions retweeted
FINRA has established a new Supplemental Liquidity Schedule (SLS). The new SLS is designed to improve our ability to monitor for potential adverse changes in the liquidity risk of the members with the largest customer and counterparty exposures. ▶️ bit.ly/3n5ZyTf
Red Oak Compliance Solutions retweeted
Don't click me! Here are 5 phishing tricks to watch out for on.forbes.com/6010Jeki0 Sponsored by @DeepInstinctSec
Red Oak Compliance Solutions retweeted
#Analysis: What it takes to fight financial crime with #AI
AI can play a strong part in combating fraud, but firms need to have the right groundwork in place.
spr.ly/6014JR4EM
Red Oak Compliance Solutions retweeted
The OCC’s fall Recruitment Campaign ends on Wednesday, October 6! Learn more about a career ensuring the safety and soundness of the national banking system. Apply today to become an assistant national bank examiner. #CareerWorthExamining occ.gov/anbecareer
Red Oak Compliance Solutions retweeted
Join us for our open Commission meeting today at 10:00am ET
WATCH LIVE 🎥 sec.gov/news/upcoming-events…
Red Oak Compliance Solutions retweeted
The FTC has several openings for attorneys to work in the Bureau of Consumer Protection and in its regional offices. Apply by Sept. 30. More info here: go.usa.gov/xMTCX
Red Oak Compliance Solutions retweeted
Missing live #seminars? Read #CoreCap's tips on getting #clients back #FAmagazine #financialplanning #wealthmanagement dlvr.it/S5WLv5
Red Oak Compliance Solutions retweeted
JPMorgan to Hire 550 Brokers, More Than Doubling Its Current Base ift.tt/3kWroQH
Red Oak Compliance Solutions retweeted
Have you received a phone call supposedly from the Federal Reserve claiming there’s suspicious activity on your bank account? Or that there’s a warrant out for your arrest? It’s a scam!
Learn more to help you and your loved ones avoid becoming victims: go.usa.gov/xFczx
Red Oak Compliance Solutions retweeted
According to our research, growth has been strongest for the largest advisers. Advisers with over $100 billion in assets have experienced gains in assets of 13.5 percent annually over the past three years, far ahead of smaller advisers: investmentadviser.org/public…
Red Oak Compliance Solutions retweeted
“Investment advisers are predominately small businesses and many would benefit from being made eligible for the pass-through deduction,” Simon said. “The IAA strongly supports efforts to make advisory firms gain this benefit.”
.@SenateFinance Chair @RonWyden's bill opens pass-through tax break to financial advisers. bit.ly/3eEGgz8 It's capped at $400K income to generate revenue from wealthy for social infrastructure legislation. @IAA_Today @millerchevalier @leonlabrecque @investmentnews
Red Oak Compliance Solutions retweeted
Kahl to become acting examinations chief at SEC, succeeding Peter Driscoll, who is leaving the agency after heading the examinations division since January 2017 bit.ly/3enL1gq @investmentnews
