investment adviser Archives - Red Oak Compliance Solutions

Monday, February 8 2021

Testimonials in Social Media

Do testimonials work? The data says they do across many industries, and it’s because people are so connected. Ninety-two percent of buyers read testimonials online before making a purchase, and... [...]

Monday, January 25 2021

IA Compliance News

Modernized Marketing Rule for Investment Advisers

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... [...]

Wednesday, January 13 2021

AdMaster News

Why You Need a Centralized Review Process

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... [...]

Tuesday, January 12 2021

News

Red Oak Hires James K. Ryan, Former SVP of Sales at Compliance Risk Concepts and RegEd as Director Of Business Development

Red Oak Compliance Solutions is proud to announce the hire of James K. Ryan as Director of Business Development. In his role at Red Oak, Ryan will be responsible for... [...]

Monday, November 9 2020

News

4 Ideas to Set Up Your Marketing Compliance Review Process for Success

When will team members see marketing compliance as more than just a chore or a headache? The answer is – when you show them that marketing compliance is more than... [...]

Monday, September 14 2020

News Regulatory Alerts

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who... [...]

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