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
Red Oak Compliance Solutions was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to
The RegTech100 is the list of “companies every financial institution needs to know about as they consider and develop their mission critical RegTech and digital transformation strategies.” This December, the 2022 RegTech100
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to April 26, 2022, the implementation date
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
Financial industry giant Merrill Lynch has the funding and capability to use any technology platform
Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not
As the chief compliance officer in your organization, you have the opportunity to take your
Red Oak Compliance Solutions was recently named to the Inc. 5000 Regionals list for fastest-growing
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”)
The RegTech100 is the list of “companies every financial institution needs to know about as
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise
