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Special Purpose Acquisition Companies (SPACs) have become increasingly popular as private companies see the potential opportunities they provide to bring private companies into public markets more quickly than possible under…
Purchasing a template written supervisory procedures compliance manual is a commonplace happening in the industry. After all, it seems like a great solution to the problem of carving out time and creating a lengthy and
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…
This award is presented by The Financial Times and Statista Inc., the world-leading statistics portal and industry ranking provider.
Red Oak Compliance Solutions was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region. The list highlights Texas businesses and organizations that are…
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…
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…
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…
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…
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…
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