SOURCE: Red Oak Compliance Solutions LLC

Red Oak Compliance Solutions

October 04, 2016 08:00 ET

Red Oak's AdMaster First to Release Support for FINRA's Latest AREF Technology Release

AUSTIN, TX--(Marketwired - October 04, 2016) - Red Oak Compliance Solutions ("Red Oak") recently updated their industry-leading, bi-directional AREF integration feature within AdMaster Compliance™ ("AdMaster") to take full advantage of the latest capabilities released by FINRA's advertising technology and development team in early September. By supporting these next-generation capabilities, AdMaster customers can now electronically transmit advertising material for review to FINRA of up to 500MB in size and can be of any file type. This includes audio files, video files, and other popular non-PDF document formats (such as Microsoft Office). The same capabilities extend to supporting material, which is transmitted along with review materials. This expanded ability means AdMaster customers can now electronically file over 95% of their advertising material with FINRA directly within AdMaster without ever logging into the web AREF interface.

"By allowing for almost all advertising material to be filed electronically through AdMaster, our customers can focus on the business of ensuring compliance instead of trying to constantly monitor and resolve the results of interactions between AREF and their internal compliance processes," said Rick Grashel, Chief Technology Officer of Red Oak. "We worked closely with FINRA's advertising technology team as they were developing these fantastic capabilities and will continue to do so in the future as they bring new and valuable features to member firms."

AdMaster's bi-directional AREF integration allows for the automated submission of materials for review to FINRA and then captures the response letters and result codes as FINRA publishes them. All response letters are attached directly to the relevant AdMaster submission as supporting material -- creating a full and complete regulatory record. Email notifications regarding the receipt of response letters are sent out in real time, saving time and ensuring material is approved for use as fast as possible.

Additional AdMaster highlights include:

  • Official Books and Records -- SEC Rule 17(a)-4 compliant with 3rd party attestations standard
  • Volume-based pricing scales from small to very large global firms
  • Red Oak's industry expertise minimizes implementation effort and maximizes ROI
  • Absolutely superb ongoing customer service
  • Support for global users, including non-English character sets and time zones
  • A full REST API to integrate with marketing and library systems
  • Advanced review capabilities improve accuracy and turnaround times while reducing effort
  • On-line PDF, video and audio annotations
  • Lexicon for flagging potential issues with review material
  • Comment templates for reusable disclosures and attestations
  • Full-text search for finding documents and submissions easily

Find out why AdMaster is the best advertising review solution in the world. Visit our website at

About Red Oak and AdMaster
Red Oak Compliance Solutions LLC, headquartered in Austin, Texas, is a full service compliance consulting and software firm helping broker-dealers, advisers, investment companies and hedge funds meet regulatory requirements and increase ROI. Red Oak's philosophy is based upon three founding principles: understand the needs of our clients; provide exceptional customer service; and deliver cost-effective solutions to address those needs. Red Oak services the compliance needs of over 600 firms ranging in size from single advisor firms to large global public companies. Red Oak's exclusive AdMaster software is an industry-leading, web-based, SaaS application which directly addresses regulatory and advertising review workflow processes. AdMaster was designed from the very beginning to be highly flexible, relieve administrative burden and build efficiency into the advertising review process. Total client assets under management exceed $10 trillion USD -- with these firms relying on AdMaster and/or Red Oak consultants to review marketing material for compliance.

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