Red Oak Compliance Solutions, a leader in advertising compliance technology for the financial services industry, recently hired Michael Davis as Assistant Vice President of Implementations. In Michael’s new role, he
Asset Managers are heavily focused on bringing in new business and attracting the right clientele. Compliance, while important, is something you’d prefer to have running smoothly in the background rather
Red Oak Compliance Solutions, a leader in advertising compliance technology for the financial services industry, recently hired regtech industry veteran Aaron Berger as Vice President of Implementations. In Aaron’s new
This award is presented by The Financial Times and Statista Inc., the world-leading statistics portal and industry ranking provider. RED OAK COMPLIANCE SOLUTIONS RECOGNIZED AMONG THE AMERICAS’ FASTEST-GROWING COMPANIES BY
RED OAK COMPLIANCE RECEIVES SECOND CONSECUTIVE RECOGNITION ON INC. MAGAZINE ANNUAL LIST OF AMERICA’S FASTEST-GROWING PRIVATE COMPANIES Red Oak Compliance Appears on the Inc. 5000, Ranking No. 2130 With Three-Year
RED OAK COMPLIANCE NAMED TO REGTECH100 LIST FOR SECOND CONSECUTIVE YEAR List highlights tech companies transforming compliance, risk management and cybersecurity Red Oak Compliance, a leader in advertising compliance technology,
RED OAK COMPLIANCE RELEASES NEW MODULE DESIGNED TO AUTOMATE LICENSING AND REGISTRATION MANAGEMENT RegTech Provider’s Automation-Driven Licensing and Registration Module Designed to Streamline Processes and Reduce Risk Red Oak Compliance,
RED OAK COMPLIANCE MAKES REGTECH 100 We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual
Red Oak Compliance makes the Inc. 5000 list of America’s fastest-growing private companies for 2019 We are pleased to announce that for the first time, Red Oak Compliance is on
RED OAK COMPLIANCE CELEBRATES 10TH ANNIVERSARY Red Oak Compliance, a privately owned company and a leader in advertising review software for the financial services industry, announced they are celebrating ten
On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member,
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
You’ve heard it a lot…2020 was challenging. Many of us were working in new ways, using new platforms, or building new processes. Some of us moved from corporate offices with…
On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been…
Do you need a compliance consultant at one point in the year more than others? This is actually kind of a trick question. You may find certain times within your…
When you’re the compliance portion of the advertising review process, you’re expected to move fast. Once a piece makes it to your desk, it’s not uncommon to notice your marketing…
When you’re choosing a new ad compliance software, there are plenty of questions you should be asking to ensure you’re getting the best fit for your organization. In fact, we’ve…
