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
On June 30, 2020, the SEC began the enforcement of Regulation Best Interest (“Reg BI”). This guidance requires all SEC-registered investment advisers and broker-dealers to be in compliance with the…
As the country still reels from the effects of the pandemic, the relentless assault of cybercriminals has not slowed. And, with many people continuing to work online from home (66…
Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and…
The past year has included a fair amount of economic uncertainty, impacting businesses trying to plan for the future and properly equip their teams. We’ve talked to teams who wonder…
These are unusual times at best. Many Americans, and many people around the world for that matter, are feeling scared, stressed, and frustrated. According to the National Endowment for Financial…
As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of
For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating…
Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts. In order to best serve the needs of the business, and…
Physical and financial health are both top of mind in a crisis situation like the pandemic the world is currently facing. While flattening the curve and limiting the spread of…
Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals….
New SEC Guidance Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs Cash sweep accounts can provide broker-dealers a convenient way to support their clients and ensure they’re wisely…
This March marked the 10th anniversary of Red Oak Compliance. The journey started for our founders in 2006 when they initially worked together at a hybrid broker-dealer/RIA and built an…
