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Stephen Pope Speaks at TSAM

Thursday, June 13, 2019

Red Oak founder, Stephen Pope, hosted a discussion titled “The Marketing Review Journey: The Untold Stories” at the TSAM Conference in New York. The session highlighted the genesis of marketing review requirements, the evolution of rule 17A-4 for electronic Books and Records and the challenges faced by compliance teams to keep pace in today’s digital era. Attendees had the opportunity to learn about the benefits of leveraging Red Oak’s premier automation solution to help achieve faster approvals and drive sales.

Red Oak is the leading provider of advertising review software for the financial services industry. The comprehensive suite of SEC 17A-4 compliance features are tailored to meet the evolving needs of financial firms, small and large. To learn more about how Red Oak can help your firm minimize risk, reduce costs, and get your message to market faster, call 888.302.4594 or email sales@redoakcompliance.com

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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