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 than disrupting your day-to-day flow. However, an increase in hefty…
Purchasing a template written supervisory procedures compliance manual is a commonplace happening in the industry. After all, it seems like a great solution to the problem of carving out time and creating a lengthy and complex guide from scratch. These templates can be beneficial for a few reasons: They’re timesavers. When…
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 role, he will be responsible for working with new Red…
Red Oak Compliance was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region. The list highlights Texas businesses and organizations that are privately owned and that are powerfully driving growth in their states…
FINRA recently released the 2021 Report on FINRA’s Examination and Risk Monitoring Program. This report combines some of the information firms are accustomed to seeing from their regulator – the Report on Examination Findings and Observations and the Risk Monitoring…
As 2021 starts, we’ve experienced almost a full year of living in a pandemic. Work processes have hopefully streamlined and improved, as you’ve developed ways to work around social/physical distancing and to ensure you have all your ducks in a…