Red Oak Compliance, a leading provider of compliance software for the financial services and insurance industries, has been recognized for the fifth consecutive year by the Financial Times as one
Article originally appeared at FinTech Global. In an era of increasing regulatory complexity, artificial intelligence (AI) has become essential in enhancing compliance efforts, offering new capabilities for managing and automating
Red Oak Compliance Honored as AIFinTech100 Leader Leading Innovator in AI Compliance Technology Recognized for the Third Straight Year Austin, TX – [Aug 27, 2024] – Red Oak Compliance, a
Red Oak Compliance Named to 2024 Inc. 5000 List for Sixth Consecutive Year Austin, TX – [August 22, 2024] – Red Oak Compliance, a leading provider of compliance software and
Mike joins as SVP of Product Management to drive innovation. RED OAK COMPLIANCE SOLUTIONS APPOINTS MIKE LUBANSKY AS SENIOR VICE PRESIDENT OF PRODUCT MANAGEMENT TO DRIVE INNOVATION Red Oak Compliance
RED OAK COMPLIANCE SOLUTIONS WELCOMES DAVE DUTCH AS CEO Dutch Brings More Than Three Decades of Leadership Experience in Software, Financial Technology, and Compliance Red Oak Compliance Solutions, a leading
Red Oak is excited to announce our recent acquisition of SiteQuest Compliance, a respected compliance monitoring and website surveillance software firm. This acquisition is another step towards Red Oak’s goal
RedOak Compliance Solutions bolsters product suite and customer solutions with strategic acquisition of SiteQuest Compliance Joint dedication to client-centric business model backed by innovative technology solutions will drive unparalleled efficiency
Red Oak Compliance was once again named to the RegTech 100 list. This list was created to recognize “the world’s most innovative RegTech companies that every leader in the regulatory
Red Oak Compliance, a leader in AI-powered advertising compliance technology, was once again named to the RegTech100 list. The list highlights tech companies transforming compliance, risk management, and cybersecurity. Red
We are thrilled to share that Red Oak Compliance, a leading provider of compliance software, has been included in the prestigious ESG FinTech 100 list. There has been a significant
Red Oak Compliance has been named to the Inc. 5000 list of Fastest-Growing Private Companies for the fifth consecutive year. Red Oak Compliance ranked number 3,923 on the annual Inc.
The core principle of the Investment Advisors Act of 1940 is Investor protection. Its mission, and that of the SEC, is to shield investors from unscrupulous people who sneak into…
In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced…
On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January…
Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology…
Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious…
As the chief compliance officer in your organization, you have the opportunity to take your team from contributors to leaders. It’s all in the way you choose to approach your role and the way you…
In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams. Among her many responsibilities, Cathy oversees software implementations…
2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place. With everyone trying to resume life as normal while…
By Guest Contributor and Author: Brett Molotsky, VP of Industry Solutions at Aprimo Financial services organizations know a thing or two about pressure. Risk management, regulatory policy, the burdens of…
Many people, including high-ranking executive leaders, tend to let their eyes glaze over when topics like IT management and cybersecurity come to the forefront. It’s not that they’re unconcerned –…
In July, Robert Cook, President, and CEO of FINRA (Financial Industry Regulatory Authority), warned member firms that FIRNA would soon begin three targeted sweeps to address areas of concern: …
No one likes being overbilled for a product or service, whether you’re talking about something as small as using a coupon code or as large as managing your investments. When…
