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Red Oak Compliance Adds Smart Review

New features are meant to improve the efficiency of advertising reviews for compliance and marketing teams at broker/dealers and RIAs.

Red Oak Compliance Solutions announced Tuesday the release of Smart Review, an enhancement to the firm’s flagship advertising compliance review software used by independent broker/dealers and RIA firms.

Smart Review, according to the company, enables compliance officers and others to build and maintain a single repository of disclosures, which can help firms streamline the advertising review process and increase accuracy in managing disclosures. This includes an audit trail for disclosure updates and changes.

The new features are also designed with marketing teams in mind, helping them find disclosures, identify the most up-to-date versions of material, and using business intelligence rules to flag potential missing, outdated or unneeded disclosures, all to help get marketing messages out the door faster.

There are three key components to Smart Review, which includes Disclosure Manager, Disclosure Intelligence and Disclosure API.

Disclosure Manager is a centralized disclosure library and management tool that serves as a single source of truth for disclosures and replaces the manual task of attempting to manage, distribute and version disclosures with spreadsheets. Disclosure Intelligence allows firms to create rules for identifying when a disclosure should be included on a piece—for example, based on data such as text in the material, the type of content, the audience or country. Disclosure API gives clients the ability to integrate Red Oak's Smart Review functionality with their favorite content creation applications.

Based in Austin, Texas, the firm recently celebrated a decade since its founding.

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