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Red Oak Compliance Conference Featuring Michelle Jacko

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More

Red Flags: How to Prepare Your Team for an SEC Visit

The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More

Additional Document Production: Key Elements to the Secondary Request

One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More

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