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... [...]
News + Insights - investment adviser
Tuesday, January 12 2021
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
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
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... [...]
Tuesday, August 11 2020
Advocating for Technology in the 2021 Budget Process
It’s no secret that budgeting, along with almost every other aspect of business, will be different as a result of the COVID-19 pandemic. For one thing, revenue and expenses are... [...]
Monday, July 20 2020
What You Need to Know About Reg BI
As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these... [...]
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