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Creating a compliance budget should take into consideration both internal and external impacts - including the organization's goals, market focus, relationships between teams, regulatory requirements and cultural expectations. Start asking the right questions and building a budget that prioritizes the resources you need to be successful.
This year marks the fourth year in a row that Red Oak has been included on the list. Being included on the list for four consecutive years would be a feat in any field. It’s especially prominent in the RegTech field, where new technology hits the market regularly.
Regulations change on a daily basis. Take comfort in knowing that Red Oak is monitoring the regulatory industry to keep you informed on the latest rules.
Read the latest compliance alerts and information from the following sources:
Wednesday, March 27, 2024
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). The amendments will require an... [...]
Tuesday, March 26, 2024
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. The Committee was established under the... [...]
Friday, March 22, 2024
Summary FINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting... [...]

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