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
Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security…
Cryptocurrency scams are alive and well and continue to target unwitting individuals with their malicious schemes. In September of last year, the Texas State Securities Board issued a cease and…
If you have yet to submit, or at least begin, your annual amendment, time is running out. Remember, whether you are State or SEC registered, your annual amendment is due…
Supervision of 529 Savings Plans has become a major focus of FINRA. FINRA has launched a 529 Plan Share Class initiative intended to motivate compliance of 529 Plan rules. FINRA…
On February 5th, the vice president and associate general counsel at FINRA, James Wrona, said that, “…the next round of exams… [will] look a little more closely” at the efforts…
OCIE Risk Alert – Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules. Submitted by: Randy Randall, Senior Compliance Consultant, Red Oak Compliance Solutions…
