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
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…
