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RegTech Top 100 for 2020

Red Oak Compliance makes REGTECH 100 for 2020

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,

Screenshot of the Smart Registration feature

Red Oak Compliance Releases Smart Registration

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,

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Red Oak Compliance Celebrates 10th Anniversary

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

Cost of Fraud

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,

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

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…