Amy Watson, Author at Red Oak Compliance Solutions

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... [...]

Monday, March 1 2021

News

What You Should Know About FINRA’s 2021 Exam and Risk Monitoring Program

FINRA recently released the 2021 Report on FINRA’s Examination and Risk Monitoring Program. This report combines some of the information firms are accustomed to seeing from their regulator – the... [...]

Thursday, February 11 2021

News

Preparing for Regulation Best Interest Exams in 2021

As 2021 starts, we’ve experienced almost a full year of living in a pandemic. Work processes have hopefully streamlined and improved, as you’ve developed ways to work around social/physical distancing... [...]

Monday, February 8 2021

IA Compliance News

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... [...]

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... [...]

Thursday, January 28 2021

Checklists News

A Quick Guide to Preparing for Your Next Compliance Review

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... [...]

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

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

What You Should Know About FINRA’s 2021 Exam and Risk Monitoring Program

Preparing for Regulation Best Interest Exams in 2021

Testimonials in Social Media

Countdown to Implementation

A Quick Guide to Preparing for Your Next Compliance Review

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