Red Oak Compliance Solutions

05/15/2024

We are excited to share that Mike Lubansky has officially joined the ROCS team as our new Senior Vice President of Product Management. With his extensive experience in the financial technology industry and strong leadership skills, we are confident that Mike will bring a new level of innovation to our clients, helping them streamline their processes and navigate regulatory challenges more effectively.

Currently, Mike is in Washington, DC attending the Annual Conference. If you're there, make sure to swing by our booth and say hello!

Welcome to the ROCS family, Mike! Let's make some magic happen!

05/10/2024

We are PUMPED to be a sponsor at the 2024 FINRA Annual Conference again this year! We can't wait to connect with you and showcase our intelligent compliance software solutions.

You can find us in two convenient locations:
- Booth 202 on the main floor
- Booth 16 on the exhibitor floor.

Stop by, say hi, and chat with our amazing ROCS team including familiar faces like Lance, Carmela, Jordan, Ashton, Stephen, Cathy, and Amy as well as new team members Dutch, Tripp, Mike, and Anders. We're looking forward to discussing how we can help optimize your processes while reducing regulatory risk.

Whether you're a current client or looking to make new connections, we're excited to see you in DC!

05/07/2024

Are you struggling to effectively supervise your advisor's online presence? Frustrated with the endless search results and tedious reporting tasks? Worried about potential regulatory fines due to lack of proper oversight? Don't give up! Let Red Oak help you cut through the noise and navigate through these challenges with our intelligent software suite. Learn more: https://bit.ly/4dtRsLO

05/01/2024

We are thrilled to announce that Dave Dutch has joined Red Oak as our new CEO! With his extensive experience in the SaaS industry, we are confident that he will lead us to new heights of success. Joining him is Tripp Neville, our new Chief Revenue Officer, bringing with him a wealth of industry knowledge and a proven track record of driving growth. Welcome to the team, Dutch and Tripp! Check out our press release to learn more about our new leaders.
https://bit.ly/44uR5N2

04/30/2024

What an incredible few days at our annual User Conference! A huge thank you to everyone who joined us for 3 days of non-stop sessions, live music, delicious Texas BBQ, and unforgettable moments with amazing people. Mark your calendars now for 2025 - April 27-30 - as we'll be back in beautiful Austin for another round of learning, networking, and fun. Can't wait to see you there!

04/23/2024

🚨 Important Update Alert

On March 27, 2024, the SEC adopted amendments to rule 203A-2(e) under the Investment Advisers Act. These amendments will have a significant impact on advisers relying on the internet adviser exemption.

Starting July 8, 2024, advisers must have an "operational interactive website" to provide digital investment advisory services to more than one client. The de minimis exception allowing advisers to serve fewer than 15 non-internet clients will be eliminated. Additionally, advisers relying on the internet adviser exemption must state on their Form ADV that they have an operational interactive website.

Is your firm prepared to comply with these new regulations? Our team of compliance experts are here to help. From consulting to software solutions, we've got you covered. Don't wait until the last minute - reach out to us today for support in meeting these regulatory requirements.

04/23/2024

We are all about integrations! Our CTO, Rick Grashel, and some amazing clients shared how our powerful integrations with content creation tools are revolutionizing processes and optimizing workflows between their marketing and compliance teams. Stay tuned for discussions on social media regulations, product roadmap, and our client advisory forum - always a crowd favorite!

04/22/2024

Our User Conference has officially kicked off! We are excited to have our Co-Founder and CEO, Stephen Pope, on stage to greet our valued clients and kickstart a few days filled with knowledge sharing and collaboration. Let's dive into discussions on compliance, compliance management, regulatory issues, and the latest in compliance technology.

04/19/2024

Get ready, Red Oak clients! Our Annual User Conference is just around the corner and we can't wait to welcome you from all corners of the globe! Brace yourselves for an unforgettable lineup of impactful content that will inspire and empower you. Safe travels and we'll see you soon!

04/16/2024

Red Oak is proud to be a Platinum sponsor for the 2024 Annual Conference happening this week. Our Co-Founder and CEO, Stephen Pope, will be speaking at this incredible event. Be sure to visit our booth and meet with Lance, Cathy and Stephen to discover how our intelligent advertising review software can enhance your review processes. We can't wait to connect with our industry colleagues and delve into what the future holds for the markets and clients we serve. See you there!

04/12/2024

The just announced charges against five for violations. Corey Schuster from SEC Enforcement Division's Asset Management Unit made it clear that they are cracking down on non-compliance. Don't let your firm be next! Now is the perfect time to check out Red Oak and discover how our intelligent compliance software can help keep you in the clear.
https://bit.ly/49Bbvog)

Press Release SEC Charges Five Investment Advisers for Marketing Rule Violations FOR IMMEDIATE RELEASE 2024-46 Washington D.C., April 12, 2024 — The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All fiv...