You’ve heard it a lot…2020 was challenging. Many of us were working in new ways, using new platforms, or building new processes. Some of us moved from corporate offices with
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
Do you need a compliance consultant at one point in the year more than others? This is actually kind of a trick question. You may find certain times within your
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
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
When you’re choosing a new ad compliance software, there are plenty of questions you should be asking to ensure you’re getting the best fit for your organization. In fact, we’ve
The future is hard to predict, and many professionals worry budget forecasting puts them on-the-record for certain goals. In the 2020-2021 budgeting cycle, in particular, business leaders have an unusually
On November 30, 2020, the North American Securities Administrators Association (NASAA) announced its membership has voted to adopt a model rule to set parameters by which NASAA members could implement
One item regulators focus on during almost every audit process is the written supervisory procedures/compliance manual. With this in mind, you’d think having these guidelines in tip-top shape would be
Compliance professionals are expected to have a foot in two different worlds – to be thoroughly up-to-date on regulatory requirements and to be fully immersed and forward-looking to support their
For the second year in a row, Red Oak has been named to the RegTech100, a group of innovative companies supporting financial firms as they manage ongoing compliance and regulatory
Sometimes being a compliance professional can feel almost like being a teacher or grading papers – getting out the proverbial red pen and writing in corrections, suggestions, and revisions. Even
You’ve heard it a lot…2020 was challenging. Many of us were working in new ways,
On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers.
Do you need a compliance consultant at one point in the year more than others?
When you’re the compliance portion of the advertising review process, you’re expected to move fast.
Red Oak Compliance Solutions is proud to announce the hire of James K. Ryan as
When you’re choosing a new ad compliance software, there are plenty of questions you should
The future is hard to predict, and many professionals worry budget forecasting puts them on-the-record
On November 30, 2020, the North American Securities Administrators Association (NASAA) announced its membership has
One item regulators focus on during almost every audit process is the written supervisory procedures/compliance
Compliance professionals are expected to have a foot in two different worlds – to be
For the second year in a row, Red Oak has been named to the RegTech100,
Sometimes being a compliance professional can feel almost like being a teacher or grading papers
