broker-dealers Archives - Page 3 of 5 - Red Oak Compliance Solutions

Wednesday, November 3 2021

Managing Your Annual Compliance Checklist

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... [...]

Tuesday, October 26 2021

News

Red Oak Hires Industry Veteran Michael Davis, as Assistant Vice President of Implementations

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... [...]

Tuesday, June 15 2021

News

Red Oak Announces Hire of Industry Veteran John Proskoczilo as Business Development Director

Red Oak Compliance Solutions, a leader in advertising compliance technology for the financial services industry, recently hired regtech industry veteran John Proskoczilo as Business Development Director. In John’s new role,... [...]

Wednesday, June 9 2021

News

Avoiding Overbilling Issues through Diligent Compliance Efforts

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... [...]

Wednesday, May 5 2021

News

Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role

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... [...]

Tuesday, February 2 2021

AdMaster Checklists News

Countdown to Implementation

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... [...]

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News + Insights - broker-dealers

Get the latest industry and Red Oak news here.

Managing Your Annual Compliance Checklist

Red Oak Hires Industry Veteran Michael Davis, as Assistant Vice President of Implementations

Red Oak Announces Hire of Industry Veteran John Proskoczilo as Business Development Director

Avoiding Overbilling Issues through Diligent Compliance Efforts

Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role

Countdown to Implementation

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