In 2022, The Securities and Exchange Commission proposed amendments to its current Environmental, Social and Governance (ESG) disclosures guidelines. The SEC’s goal with these newly proposed rules is to ensure funds that purport to be environmentally and socially conscious are…
2022 was another outstanding year for Red Oak as we continued to develop new technology, enhance our existing software and support our clients. During the past year, we continued to enhance our software and functionality, expanded our team of…
A focus on delivering intelligent software backed by a strong customer centric business model leads to the company’s continued steady growth. Red Oak Compliance Solutions, a leader in advertising compliance review technology and comprehensive compliance software solutions, recently released an…
Red Oak was recently recognized as one of the Top 10 RegTech Solution Providers, according to digital publisher GRC Outlook. Why Did They Choose Red Oak? GRC Outlook published a profile highlighting each of the companies on their Top 10…
Red Oak Recognized for Fourth Consecutive Year on Inc 5000 List of Fastest Growing Companies RED OAK COMPLIANCE RANKS ON THE 2022 INC. 5000 ANNUAL LIST FOR THE FOURTH CONSECUTIVE YEAR With Three-Year Revenue Growth of 93%, Red Oak Once…
What’s in a name? The SEC has found that it’s more than you might think. In 2001, the Commission put in place the Names Rule, which requires that funds’ names be in line with their focus and with the majority…
Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before. Regulations will be more stringent, and companies will be expected to…
The SEC has published its annual examination priorities for 2022. For those who have been in the industry for any amount of time, this is an expected annual tradition. In fact, the SEC noted that they’re commemorating ten years…
The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the price of oil and the rising costs associated with inflation.…
The core principle of the Investment Advisors Act of 1940 is Investor protection. Its mission, and that of the SEC, is to shield investors from unscrupulous people who sneak into the position of an Investment Adviser Representative and claim to…
In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced professionals working on behalf of their clients. There can…
On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January 2018 and November 2020, J.P. Morgan employees communicated about securities…
Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology and compliance processes money can buy, right? Not so fast.…
Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious is its cyclical nature and the fact that we must continue…
As the chief compliance officer in your organization, you have the opportunity to take your team from contributors to leaders. It’s all in the way you choose to approach your role and the way you position your team within the organization. We’ve outlined four key…
Red Oak Compliance was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region. RED OAK RANKS IN TOP 200 AMONG INC 5000 REGIONAL LIST Recognition Positions Red Oak as One of the Fastest-Growing…
RED OAK COMPLIANCE RELEASES SMART REVIEW ADVERTISING COMPLIANCE DISCLOSURE MANAGEMENT MODULE New software enhancement enables firms to centralize and manage disclosures for faster approvals and greater efficiency in the compliance process; incorporates predictive intelligence to streamline disclosure review process Red…
In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams. Among her many responsibilities, Cathy oversees software implementations and compliance consulting for Red Oak. Her teams focus on building the…
2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place. With everyone trying to resume life as normal while still facing the challenges of remote work and staffing concerns,…
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 will be responsible for working with Red Oak clients as…
By Guest Contributor and Author: Brett Molotsky, VP of Industry Solutions at Aprimo Financial services organizations know a thing or two about pressure. Risk management, regulatory policy, the burdens of remaining compliant while always trying to improve efficiencies and speed…
Many people, including high-ranking executive leaders, tend to let their eyes glaze over when topics like IT management and cybersecurity come to the forefront. It’s not that they’re unconcerned – in fact, many executives rank cybersecurity as one of their…
In July, Robert Cook, President, and CEO of FINRA (Financial Industry Regulatory Authority), warned member firms that FIRNA would soon begin three targeted sweeps to address areas of concern: Options account opening Special purpose acquisition companies (SPACs) Supervision of…
No one likes being overbilled for a product or service, whether you’re talking about something as small as using a coupon code or as large as managing your investments. When the overbilling involves services provided to advisory clients, the consequences…
Special Purpose Acquisition Companies (SPACs) have become increasingly popular as private companies see the potential opportunities they provide to bring private companies into public markets more quickly than possible under a traditional IPO (initial public offering). High-profile companies that have…
Red Oak Compliance, a provider of financial services compliance software, has been named to The Financial Times list of The Americas’ Fastest Growing Companies 2021. The Americas’ Fastest Growing Companies highlights the companies and industries most strongly contributing to economic…
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…
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 FINANCIAL TIMES Red Oak Compliance Solutions, a leader in advertising…
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…
Have you selected a new SaaS solution for your compliance team? After all the conversations and reviews and vetting, you’ve signed the deal and are ready to put that new ad review software into action. There’s one big question left…
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 bustling teams to working from home and relying on Zoom…
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 significantly revised since the 1980s. The world of marketing and…
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 business year where a consultant’s support is more valuable –…
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 counterpart lurking around outside your office, just waiting “in case…
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 actually put together a guide to help you evaluate regtech…
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 Revenue Growth of 197.67 Percent Inc. magazine today revealed that…
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, was named to the RegTech100 list for the second consecutive…
In this webinar from November 2019, Cathy Vasilev, a founding member and COO of Red Oak Compliance Solutions and Dana Rhodes, Managing Director of Enterprise Services at Riskalyze, dive into all things Reg BI. They tackle the big questions (Is…
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, a leader in advertising compliance technology for the financial services…
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 list recognizes the tech companies transforming compliance, risk management, and…
We are pleased to announce that for the first time, Red Oak Compliance is on the annual Inc. 5000 list of the nation’s fastest-growing private companies. The magazine today revealed Red Oak ranks at No. 1,792. The list represents a…
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 the annual Inc. 5000 list of the nation’s fastest-growing private…
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 years of helping clients obtain faster approvals, reduce costs, minimize…
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, Jeffrey Francis Thompson, from the securities industry. Jeffrey’s license is…