Record the Why.
The compliance infrastructure for investment advisers. Marketing claims linked to evidence. Vendor oversight documented. Team competency recorded.
The Platform
Three disciplines. One forensic record.
Every product contributes sections to the Blue Folio — the complete and professional response the SEC expects.
§1–3
MRC Platform
Marketing Rule Compliance
Every marketing claim linked to evidence. CCO approval with written reasoning. The forensic record the SEC actually examines.
§4
VDD Platform
Vendor Due Diligence
Third-party vendor risk classified and documented. Every due diligence decision on record, structured for examination.
§5
Training Platform
Compliance Training
Compliance training assigned, completed, and recorded. Every team member's competency on file for examination.
The Output
One document. Already assembled.
Everything builds toward the Blue Folio — the complete and professional response assembled at the moment of approval. When the SEC examiner arrives, your record is already complete.
File. Every claim, every approval, already assembled.
Documents recreated after the SEC letter arrives
of exam prep time, reduced to minutes
Blue Folio — Forensic Exam Record
A self-contained forensic packet containing every marketing claim, linked evidence file, and written CCO determination. Cryptographically verified. No login required to review.
Why Now
The SEC isn't looking for one finding. It's building a picture.
Since the 2022 Marketing Rule, SEC examination has become more systematic. Examiners aren't arriving with a single focus area — they're building a pattern from what they find across marketing, vendor oversight, and training. Every undocumented decision is a data point.
The firms that answer without scrambling built the record before the letter arrived.
01
DAY 0
Examination is more systematic since 2022
The Marketing Rule changed how examiners approach an RIA. They're not looking for one smoking gun — they're building a picture across marketing, vendor relationships, and training records.
02
DAY 30
Documentation gaps are the primary deficiency
CCOs fail exams not because the program was wrong — but because there is no documented trail connecting decisions to their supporting evidence.
03
DAY 31+
Forensic records must pre-exist the examination
You cannot build documentation after the SEC letter arrives. Redan builds the record as you work — so on day one of an exam, your evidence chain is already complete.
The Differentiator
Faster answers. Complete records. Not a trade-off.
Compliance rigor and business velocity don't have to trade against each other. Redan records every determination — evidence linked, reasoning on file — in the same step as the approval. Marketing gets an answer the same day. The examiner finds the record complete.
How CCOs use it →Get Started
Build your defense.
Every claim documented. Every approval recorded. Every exam ready.