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Red Oak Compliance Launches Affiliate Monitoring and Influencer Monitoring Modules to Streamline Affiliate and Influencer Marketing Supervision
Austin, TX – [Oct. 31, 2024] – Red Oak Compliance, a leading provider of regulatory compliance software for the financial services industry, today announced the launch of two new products:
Red Oak Launches Enhanced Registration Management Module to Help Prepare Firms for FINRA’s New API
Austin, TX – October 17, 2024 – Red Oak Compliance, a leader in compliance software for the financial service and insurance industries, is excited to announce the launch of its
Red Oak Compliance Named to Financial Times List of The Americas’ Fastest Growing Companies for Fifth Consecutive Year
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
How Red Oak is leveraging AI to revolutionise compliance
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
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
Red Oak Compliance Receives Sixth Consecutive Recognition On Inc. Magazine Annual List Of America’s Fastest-Growing Private Companies
Red Oak Compliance Named to 2024 Inc. 5000 List for Sixth Consecutive Year Austin, TX – [August 22, 2024] – Red Oak Compliance, a leading provider of compliance software and
Red Oak Welcomes Mike Lubanksy
Mike joins as SVP of Product Management to drive innovation. RED OAK COMPLIANCE SOLUTIONS APPOINTS MIKE LUBANSKY AS SENIOR VICE PRESIDENT OF PRODUCT MANAGEMENT TO DRIVE INNOVATION Red Oak Compliance
Red Oak Welcomes New CEO and CRO
RED OAK COMPLIANCE SOLUTIONS WELCOMES DAVE DUTCH AS CEO Dutch Brings More Than Three Decades of Leadership Experience in Software, Financial Technology, and Compliance Red Oak Compliance Solutions, a leading
Red Oak Acquires SiteQuest Compliance
Red Oak is excited to announce our recent acquisition of SiteQuest Compliance, a respected compliance monitoring and website surveillance software firm. This acquisition is another step towards Red Oak’s goal
RedOak Compliance Acquires SiteQuest Compliance
RedOak Compliance Solutions bolsters product suite and customer solutions with strategic acquisition of SiteQuest Compliance Joint dedication to client-centric business model backed by innovative technology solutions will drive unparalleled efficiency
Red Oak Compliance celebrates fifth consecutive year on the RegTech 100 list
Red Oak Compliance was once again named to the RegTech 100 list. This list was created to recognize “the world’s most innovative RegTech companies that every leader in the regulatory
2022 was another outstanding year for Red Oak as we continued to develop new technology, enhance our existing software and support our clients. During the past year, we continued…
What’s in a name? The SEC has found that it’s more than you might think. In 2001, the Commission put in place the Names Rule, which requires that funds’ names…
Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before. Regulations…
The SEC has published its annual examination priorities for 2022. For those who have been in the industry for any amount of time, this is an expected annual tradition….
The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the…
The core principle of the Investment Advisors Act of 1940 is Investor protection. Its mission, and that of the SEC, is to shield investors from unscrupulous people who sneak into…
In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced…
On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January…
Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology…
Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious…
As the chief compliance officer in your organization, you have the opportunity to take your team from contributors to leaders. It’s all in the way you choose to approach your role and the way you…
In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams. Among her many responsibilities, Cathy oversees software implementations…
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