Austin, TX – [May 7, 2025] – Red Oak, the industry’s leading Compliance Connectivity Platform, today announced a major expansion to its Supervision Suite, extending coverage across all modern channels
Austin, TX – April 07, 2025 – Red Oak, the leader in advertising compliance and marketing review software, announced today its acquisition of 4U Platform, the premier content distribution, engagement
On January 29, 2025, we hosted a webinar focused on Residential Supervisory Locations (RSLs) and the FINRA Remote Inspection Pilot Program. With new FINRA rules (3110.18 & 3110.19) reshaping how firms
Austin, TX – January 21, 2025 – Red Oak Compliance, a leading provider of compliance software for the financial services and insurance sectors, has been named to the RegTech100 list
Austin, TX – January 14, 2025 – Red Oak Compliance, a leading provider of compliance software for the financial services and insurance sectors, announced the launch of its Social Media
Austin, TX – January 7, 2025 – Red Oak Compliance, a leading provider of compliance software for the financial services and insurance sectors, announced the launch of its AI Review
A few months ago, we wrote about the common pitfalls firms encounter when adopting AI in compliance. At that time, Red Oak’s AI solution was still in beta. Today, our…
In recent weeks, a critical vulnerability was exposed in a widely used third-party communication tool embedded within the supervision technology stack of some large players in our industry. This app…
We just wrapped our 6th Annual Red Oak User Conference in Austin, and we’re still energized by the community, conversations, and breakthroughs that filled the room. With this year’s theme—“Branching…
Our team had a blast hitting the road for two of the biggest compliance events this spring—IAA’s Compliance Conference in DC and SIFMA’s C&L Annual Conference in Austin. Between packed…
On March 6, Red Oak joined up with compliance experts Suzanne Denby (AVP, Supervision and Suitability, HTK), Matthew Johnson (Director, Compliance & AML Officer, Kestra Financial), and James Cella (Red…
The integration of Artificial Intelligence (AI) into advertising review processes promises to transform the regulatory landscape across the industry. In our recent webinar, “AI in Compliance: Enhancing Advertising Review with…
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…
