Marketing compliance
Approve marketing materials 3x faster, with every decision on the record
Red Oak checks each piece against your rules and required disclosures, routes it to the right reviewers, and keeps every version and approval on record.
Drag a fund fact sheet into Advertising Review. It is routed to Retail fund materials, AI Review highlights a disclosure area and suggests a fix that resolves to a green check, then the piece is approved and the record shows its version, approver, and date.
AI Review
Waiting for a piece
Disclosure area is missing the standard past performance statement.
Suggested fixInsert the approved disclosure from the library.Apply fix
Record
- Submitted to Retail fund materials
- Disclosure checked, fix applied
- Approved for use
Versionv2Approved byLeah VanceDateOct 27
- Fact sheet
- Social post
- Web page
The Problem
Marketing approval processes are fragmented, and rules get applied differently every time
Every entity and product line has its own rules, reviewers, and disclosures, and volume grows every quarter. Problems like a missing disclosure surface only when a reviewer opens the piece, and each reviewer has their own risk threshold. Every additional round of reviews costs time and money, and delays content going out to market.
Integrations
AI marketing review, connected to the tools your teams already use
Red Oak's API and integrations connect review to the systems where content is created, stored, filed, and reported.
- 1Content creationSubmit from your content tools, and allow reviewers to edit with inline annotations.
- 2Approved disclosuresPull current approved disclosures into content as it is being created.
- 3Your DAMPublish and retire approved materials automatically, and integrate with third-party tools like Seismic.
- 4FINRA filingautomatically file to AREF through Red Oak, then retrieve and store comment letters.
- 5ReportingSend review data to Power BI and Tableau.
- 6User accessActivate users, manage groups, and adjust visibility.
The Core Bond Fund quarterly fact sheet from Calder Wren Distributors is connected to the tools around it, each connection on its own. It is created in your content tool, with reviewer annotations embedded in the PDF. Approved disclosures are pulled in from the disclosure library. It is filed through FINRA AREF and the comment letter comes back and is stored. It is published to your DAM and retired on expiry. Review data goes out to Power BI and Tableau. User access lets you activate users, manage groups, and adjust visibility.
- In 1Created in your content tool Seismic PDFAnnotations embedded in PDF
- In 2Approved disclosure pulled in From Disclosure library
- Out 4Filed through FINRA AREF Comment letter stored
- Out 3Published to your DAM Retired on expiry
- Out 5Review data to Power BI / Tableau Power BITableau
How marketing compliance works
From submission to approval, on the record
Each step shows what happens to a piece of content as it moves from the person who drafts it to the reviewer who approves it.
01
Advertising review
A unified review workflow for every type of content
Submit from your existing tools. Red Oak applies the right workflow for that business unit, product line, and type of material.
- 1Routes and rules set per entity.
- 2Workflows your compliance team controls.
- 3Related pieces travel as one submission.
Two submissions, each taking the route its entity sets. Calder Wren Distributors goes to the Retail fund materials route, carrying one submission made of the Core Bond Fund quarterly fact sheet, a LinkedIn post, and an email. Calder Wren Advisors goes to the Adviser compliance route with its Market commentary for the fourth quarter. The pieces are submitted from your content tool, and the workflow is set by your compliance team.
Submitted from your content tool
1Calder Wren DistributorsRetail fund materials
3One submission
- Core Bond Fund quarterly fact sheetCalder Wren DistributorsRetail fundsFact sheet
- LinkedIn postCalder Wren DistributorsRetail fundsSocial post
- EmailCalder Wren DistributorsRetail fundsEmail
Calder Wren AdvisorsAdviser compliance
- Market commentary, Q4Calder Wren AdvisorsAdviceCommentary
2Workflow set by your compliance team
02
AI review and disclosure management
Submitters see instant feedback, and reviewers know where to focus their attention
AI Review uses your compliance policies to flag promissory, superlative, and potentially misleading language and images prior to human review. Smart Review shows which required disclosures are present, and which ones are missing.
- 1Your firm's compliance policies, checked by AI on every piece.
- 2One library for approved disclosures.
- 3AI suggests. Your reviewers decide.
- 4AI Review learns over time, with improvements isolated to your organization and never used for model training
The Core Bond Fund quarterly fact sheet is scanned before a reviewer opens it. AI Review highlights the phrase will outperform its benchmark in the body text and a phrase inside a chart image. It flags promissory language against your lexicon and suggests seeks to outperform its benchmark, which your reviewer accepts or rejects. The disclosure check against your approved library shows the fund performance disclosure present and the prospectus availability disclosure missing, with a button to insert it from the library. Your content is never used to train AI models.
Core Bond Fund quarterly fact sheet
The fund will outperform its benchmark over a full market cycle, through a mix of government and corporate bonds.
AI Review
1Promissory languageYour lexicon
will outperform its benchmarkseeks to outperform its benchmark
2DisclosuresApproved library
- Fund performance disclosurePresent
- Prospectus availabilityMissing
4Your content is never used to train AI models
03
Advertising review
Workflows tailored to the way your organization works
Red Oak's workflow builder lets reviews from legal, compliance, and product run in parallel wherever your routing needs it. Approved content is automatically stamped with your approval codes.
- 1Parallel review where you need it.
- 2Annotate documents and video.
- 3File with FINRA from the review record.
- 4Approved content ready to use.
The Core Bond Fund quarterly fact sheet moves from version 1 to version 3. Version 2 was returned by Ryan Irving with one annotation on the document and a comment pinned at 0:42 on a video. In version 3, Legal, M. Owens, and Advertising compliance, Ryan Irving, review in parallel and both check off. The piece is stamped Approved by Leah Vance, is ready to file with FINRA, and is approved for use.
- v1Submitted
- v2Returned by Ryan Irving
- v3Approved
2Annotate documents and video
Across Red Oak, and with AI Review
3.3x
faster content approvals with AI Review
70%
fewer compliance touches with AI Review
37 of 40
top global asset managers choose Red Oak
$101T
in assets under compliance across client firms
Designed from day one for regulatory examination
Every version, comment, and approval stays with its submission in WORM storage, so the record is ready when a request arrives.
- 1Every version and comment.
- 2Approver name and date.
- 3Disclosure wording in force at approval.
- 4Retained for your policy period.
A read-only record for the Core Bond Fund quarterly fact sheet. Version 1 was submitted by Owen Hayes on October 6 at 9:12. Version 2 was returned by Ryan Irving on October 8 at 2:05 in the afternoon for promissory language, with his comment. Version 3 was approved and stamped by Leah Vance on October 9 at 10:30. The disclosure wording in force at approval is quoted, and the record is kept on WORM storage for your policy period.
- 2v3Approved and stampedLeah VanceApproved
- 1v2ReturnedRyan Irving · Reason: Promissory language“Reword the benchmark sentence, then resubmit.”
- v1SubmittedOwen Hayes · Calder Wren Distributors
4WORM storage · Retained for your policy period
Recognition and customer feedback
8 consecutive years
on the Inc. 5000
+84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
What's included
-
Fact sheet
Retail funds
Advertising Review
Each submission through the workflow set for its entity and product line, with every version and approval on record.
-
AI Review
will outperform its benchmark
seeks to outperform
AI Review
Promissory, superlative, and potentially misleading language flagged before a reviewer opens the piece.
-
FundPresent
ProspectusMissing
Disclosure management
Your approved disclosure language in one library, checked against every piece.
-
Approved
Social media pre-approval
Advisor social posts reviewed and approved before they publish.
See your review route built in Red Oak
Bring one piece of content and the route it takes today. We'll build it for one entity and walk it from submission to approval.
Marketing compliance, answered
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Marketing compliance software takes a financial firm's advertising and marketing content through review and approval against the firm's rules and required disclosures, and keeps a record of every version and decision. On Red Oak, each submission runs the workflow set for its entity and product line, and the checks read it before a reviewer decides. Advertising Review
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AI reads each piece before a compliance reviewer does and flags wording that needs attention. Red Oak's AI Review flags promissory, superlative, and potentially misleading language and suggests other wording for each finding. A reviewer makes every decision, and AI Review never approves content. AI Review
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FINRA Rule 2210 requires a registered principal to approve a broker-dealer's retail communications before first use, with some pieces also filed with FINRA. Communications must be fair and balanced and may not make false, exaggerated, promissory, or misleading claims. Firms keep each piece with the approving principal's name and the approval date. FINRA Rule 2210
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Yes. Red Oak's APIs connect review to content creation tools, DAMs, disclosure libraries, FINRA filing and reporting tools such as Power BI and Tableau. Integrations are configured for your environment. See all integrations
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In Red Oak, each registered entity and product line can have its own review route, rules, reviewers, and required disclosures, and your compliance team changes them as policies change. A firm with a broker-dealer, an adviser, and several fund families runs each on its own workflow, with every approval on one record per submission. Advertising Review
Social media pre-review
Approve advisor posts before they get published
Advisors can submit social posts through the same workflow, checks, and approval record as other marketing content.
An advisor social post. Maya Chen, Denver branch, Kelderwick Partners, drafts a LinkedIn post with a short market update. Kelderwick Partners compliance approves version 2 of the post on October 14. The approved version is then published to her connected LinkedIn account.
Advisor social post
Bond markets have been steadier this quarter. Here is how we are thinking about income and duration for clients planning their retirement.
1Approved · Kelderwick Partners complianceOct 14 · Version 2
Not yet published
Advisor social post
Bond markets have been steadier this quarter. Here is how we are thinking about income and duration for clients planning their retirement.
1Approved · Kelderwick Partners complianceOct 14 · Version 2
2Published to connected account