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
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…
Special Purpose Acquisition Companies (SPACs) have become increasingly popular as private companies see the potential opportunities they provide to bring private companies into public markets more quickly than possible under…
