Supervision Webinar Takeaways: Protecting Your Firm from Known and Unknown Risks - Blog

On March 6, Red Oak joined up with compliance experts Suzanne Denby (AVP, Supervision and Suitability, HTK), Matthew Johnson (Director, Compliance & AML Officer, Kestra Financial), and James Cella (Red... [...]

The integration of Artificial Intelligence (AI) into advertising review processes promises to transform the regulatory landscape across the industry. In our recent webinar, “AI in Compliance: Enhancing Advertising Review with... [...]

Red Oak made a strong showing at this year’s NSCP National Conference in Dallas, and our consultants compiled their top 10 takeaways from the event. 1. Off-Channel Communications: A High-Risk... [...]

I’ve attended many FINRA Advertising conferences over the years, and candidly speaking, this was one to remember for so many reasons. The event is always first class, and it’s always... [...]

Since 2010, Red Oak has focused on delivering superior and intelligent software solutions to the financial services and insurance industries across the globe, backed by a strong customer-centric culture. We’ve... [...]