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 module, designed to enhance its industry-leading Advertising Review solution. This…
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 FINRA. As the industry moves from the legacy Web EFT…
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 Area The SEC has levied $2.2 billion in fines since…
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: Affiliate Monitoring and Influencer Monitoring. These new modules enable compliance…
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 enhanced Registration Management module. The solution is designed to help…
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 amazing to reconnect with so many wonderful industry experts and…