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
The financial services industry is no stranger to change. In the recent webinar, “Navigating FINRA’s New API for Registration Management,” we dove into the evolution of regulatory data exchange 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…
The financial services industry is one of the most regulated in the U.S., and all indications show that regulatory oversight will continue to increase. Although most states have yet to…
In 2022, The Securities and Exchange Commission proposed amendments to its current Environmental, Social and Governance (ESG) disclosures guidelines. The SEC’s goal with these newly proposed rules is to ensure…
2022 was another outstanding year for Red Oak as we continued to develop new technology, enhance our existing software and support our clients. During the past year, we continued…
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…
Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before. Regulations…
The SEC has published its annual examination priorities for 2022. For those who have been in the industry for any amount of time, this is an expected annual tradition….
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…
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…
