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
One item regulators focus on during almost every audit process is the written supervisory procedures/compliance manual. With this in mind, you’d think having these guidelines in tip-top shape would be…
For the second year in a row, Red Oak has been named to the RegTech100, a group of innovative companies supporting financial firms as they manage ongoing compliance and regulatory…
Sometimes being a compliance professional can feel almost like being a teacher or grading papers – getting out the proverbial red pen and writing in corrections, suggestions, and revisions. Even…
When will team members see marketing compliance as more than just a chore or a headache? The answer is – when you show them that marketing compliance is more than…
When your team is working through the due diligence process, it can be time-consuming. The internet can feel like a godsend, a place where you can access a great deal…
You want to be on the ball with your clients, to give them the best possible advice and guidance to secure their futures. To do so, you need a strong…
Raise your hand if you just love the process of getting review documents signed off so your firm can get advertising materials out into the market. Since it’s fairly certain…
We won’t let a pandemic stop us from connecting with our users. Instead, Red Oak brought people together virtually for our second annual User Conference. Through an online gathering, clients…
“Let’s put that in the 2021 compliance technology budget.” “Let’s wait until the beginning of the year.” How often have you heard, or used, that phrase when you’re shopping for…
On September 10, 2020, the SEC issued an order instituting administrative proceedings and cease-and-desist proceedings against Graham, Bordelon, Golson & Gilbert, Inc. (GBGG), along with a civil penalty of $176,399.21,…
2020 hasn’t been ideal, to say the least. A year that started with a booming economy has rapidly disintegrated into a pandemic, a recession and more. Many of us are…
On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who…
