What Does the SEC Think the Chief Compliance Officer Job Requirements Should Be? AUSTIN, TX--(Marketwired - October 28, 2015) - As compliance consultants, we are asked many of the same questions every day by different investment advisers. We decided it might be helpful if we...

Red Oak Compliance Solutions Exhibiting at Annual NSCP National Conference AUSTIN, TX--(Marketwired - October 23, 2015) - Red Oak Compliance Solutions, a full-service compliance consulting firm helping broker-dealers, registered investment advisers, banks, insurance...