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Red Oak Compliance makes REGTECH100 List, ranks among top Global Regulatory Compliance Innovators. 2022 Marks Third Consecutive Year on the List for the Austin-based Compliance Software Provider
When we attended this spring’s FINRA annual conference, we came home with a lot of new knowledge. Our teams participated in some really great sessions. We listened and picked up…
Red Oak Recognized for Fourth Consecutive Year on Inc 5000 List of Fastest Growing Companies
For the fourth consecutive year, Red Oak made the Inc 5000 list of the Fastest-Growing companies in America. What is the Inc. 5000 list? The Inc. 5000 list ranks the…
What’s in a name? The SEC has found that it’s more than you might think. In 2001, the Commission put in place the Names Rule, which requires that funds’ names…
The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the…
What’s your goal when you’re designing a compliance review process? It’s to balance speed and risk mitigation – to get projects through the process quickly while at the same time…
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…
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