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New Smart Review(SM) Enhancement Leverages Predictive Intelligence to Save Time and Reduce Risk.

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
Tuesday, June 2, 2020

Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts.

In order to best serve the needs of the business, and to support the marketing team’s goals of reaching clients and potential clients with timely and accurate advertising, compliance professionals need review tools that empower them to provide faster approvals with fewer touches. That’s why Red Oak created Smart ReviewSM.

What Is Smart ReviewSM?

Smart ReviewSM is an enhancement to Red Oak’s flagship compliance software. Using Smart ReviewSM, companies can build a standardized, single-source repository for disclosure management, then use the information stored there, along with the implementation of business intelligence rules, to streamline the advertising review process.

Smart Review makes life easier for compliance professionals through these key functionalities:

Smart ReviewSM Disclosure Manager Creates a Centralized Shareable Library and Incorporates Business Intelligence for Better, Faster, More Efficient Reviews

Smart ReviewSM’s base functionality consists of a centralized disclosure library and management tool that serves as a single source of truth for disclosures. In this library, compliance professionals can also maintain versioning and language variations. By creating a single source repository, compliance teams have correct and up-to-date disclosures at their fingertips when completing reviews, reducing back-and-forth communications with marketing.

Many compliance professionals try to track their disclosures through Excel spreadsheets. However, managing disclosures in a low-tech, static format can limit the ability to ensure all team members are working from the same version. And, when disclosures are being manually managed, it can be difficult to ensure that no one is referencing an outdated spreadsheet when reviewing content.

Disclosure Manager replaces the manual task of attempting to manage, distribute and version disclosures with spreadsheets. The Smart ReviewSM Disclosure Manager scans uploaded content for disclosures to identify current or outdated disclosures on the material to both the content submitter as well as the compliance reviewers, reducing time to market and risk to the firm.

With Disclosure Manager, firms can eliminate tedious manual disclosure management. And, they can eliminate the possibility that team members may use an out-of-date version of a disclosure by maintaining the latest version, implementing a versioning history and tracking/timestamping when and where disclosures have most recently been used.

Smart ReviewSM Disclosure Intelligence Reduces Potential for Errors Through Rule-Building and Content Flagging

This intelligent functionality uses predictive and deterministic rules (including rule sets clients can build) to automatically match specific disclosures with specific types of advertising content.

Rules can be developed to automatically flag potential disclosure-triggering items, including:

    • Specific terms or verbiage included the content
    • Specific audience types
    • Intent to distribute materials within certain countries or geographic areas

This enhancement reduces the possibility that a disclosure will inadvertently be omitted and makes it easier for organizations to include external regulatory guidelines and their own internal disclosure best practices in their review process.

Smart ReviewSM Disclosure API Makes Smart ReviewSM Use Seamless

The Disclosure API allows clients to programmatically connect Smart Review to the marketing content creation tools they already use, creating a seamless integration between existing technology and Smart ReviewSM.

How Does Smart ReviewSM Make the Marketing Compliance Process Easier for Financial Industry Professionals?

In today’s fast-paced digital environment, marketing teams need the capability to move quickly and take advantage of opportunities and market trends.

At the same time, compliance teams are under pressure to ensure their organizations are not at risk, all the while managing an ever-increasing burden of regulations and guidelines.

Smart ReviewSM provides value by making it easier to balance speed and accuracy in the marketing compliance review process, leading to faster approvals, fewer touches, increased efficiency and reduced regulatory risk.

This is the tool marketing and compliance professionals have been asking for – one that centralizes processes, reduces friction and increases efficiency in the advertising review process. With Smart ReviewSM, organizations will have a clear process to can balance the competing needs of moving fast, growing aggressively, and complying with all applicable regulations.

How Can My Company Access Smart Review?

Smart ReviewSM is an enhancement to Red Oak’s existing compliance software.

The Smart ReviewSM module is available now. Request a demo to get a better understanding of Smart ReviewSM’s capabilities, to plan for your Smart Review upgrade or to learn more about the benefits of Red Oak’s compliance software and services.


Red Oak Compliance Solutions is the advertising review software of choice in the financial services industry, serving clients with more than $19 trillion in assets under management. Red Oak’s advertising compliance review software offers quick implementation timelines, as well as agile technology that responds to client needs and is 100% Books and Records compliant, all resulting in 35% faster approvals, and 70% fewer touches. Are you ready to minimize risk, reduce costs, and improve efficiency?  Contact the Red Oak team to learn how.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.