Compliance Archives - Page 6 of 13 - 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... [...]

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... [...]

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 20 2021

News

7 Ways Working with a Compliance Consultant Can Start Your Year Right

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... [...]

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... [...]

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Testimonials in Social Media - Compliance

What Investment Advisers need to know to handle the review process