Acquisition enhances regulatory workflows, accelerates compliance content distribution, and positions Red Oak as the leading Compliance Connectivity Platform
Red Oak, the leader in advertising compliance and marketing review software, announced today its acquisition of 4U Platform, the premier content distribution, engagement and analytics platform for the investment industry. This strategic combination merges Red Oak’s industry-leading compliance technology with 4U’s seamless connectivity between Investment Companies and Wealth Management firms—establishing Red Oak as the industry’s first Compliance Connectivity Platform.
By integrating Red Oak’s AI-powered compliance workflow automation software with 4U’s streamlined content distribution network, this enhanced platform removes inefficiencies, eases challenges of regulatory oversight, and significantly reduces time-to-approval for marketing materials. Investment Companies and Wealth Management firms now have a unified, automated ecosystem that ensures content integrity while accelerating delivery of compliant marketing material to financial professionals and investors.
“For too long, compliance and marketing have operated in fragmented workflows, slowing down content approvals and creating unnecessary risks” said Arin Epstein, Co-CEO at 4U.
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Evolving Red Oak into a true Compliance Connectivity Platform that links internal compliance workflows with the broader distribution ecosystem.”— Dave Dutch
Denise Wypiszenski, Co-CEO at 4U, continued: “By joining forces with Red Oak, we’re delivering a first-of-its-kind solution that streamlines compliance from review to distribution—giving firms greater efficiency, regulatory confidence, and an optimized experience for advisors and their work to support investors.”
Red Oak empowers Investment Companies to efficiently manage regulatory approvals while maintaining compliance with internal policies, FINRA, the SEC and Wealth Management firm requirements. 4U’s platform eliminates manual tracking and disjointed approval processes, giving financial professionals a centralized, pre-approved content library to engage with clients cohesively.
“By integrating 4U, we are redefining what is available to financial services firms—evolving Red Oak into a true Compliance Connectivity Platform that links internal compliance workflows with the broader distribution ecosystem” said Dave Dutch, CEO of Red Oak. “We couldn’t be more excited about branching out, deepening our roots and expanding what is possible for the customers of Red Oak and 4U.”
The combined platform will drive deeper industry collaboration, integrate AI-powered compliance efficiencies, and enable firms to seamlessly connect content, data and distribution solutions benefiting the entire financial services ecosystem.
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