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
These past few weeks continues to present us with unprecedented personal and professional challenges. During this time, the Red Oak team remains committed to prioritizing the safety of our employees…
Joining a list of other celebrities to jump into the financial investment or fintech space, action movie star Steven Seagal is one that also faced charges for nondisclosure of compensation….
Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted…
On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken…
Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to…
On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses…
As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain…
If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may…
Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010…
Last month, the SEC voted to propose amendments to the definition of “accredited investor,” opening new avenues to previously underserved investors who have (or should have) the knowledge and expertise…
Over the past year, the SEC renewed its commitment to focus on protecting our senior citizens from abuse and financial exploitation. As fiduciaries, Investment Advisers (IAs) must act in the…
In case you missed it, earlier this month FINRA announced a consolidation of examination responsibilities previously divided among three different programs responsible for business conduct, financial, and trading compliance. With…
