Overview Listen The SEC has issued long-awaited clarity on whether personal service entities can receive transaction-based compensation. Hear Red Oak react to the news for Broker-Dealers and registered representatives. Critical Questions Powered by Red Oak Transcript Read the Blog Post…
Overview Listen FINRA’s new FINRA Forward initiative shows how deeply AI is reshaping compliance and market oversight. Hear Red Oak’s thoughts in this quick chat. Critical Questions Powered by Red Oak Transcript Read the Blog Post Earlier this year, FINRA announced the…
Overview Listen The SEC published its 2026 Examination Priorities this week. Red Oak is sharing what you need to know in this quick chat. Critical Questions Powered by Red Oak Transcript Read the Blog Post The SEC published its 2026 Examination…
Overview Listen Hear Red Oak’s key takeaways from the 2025 NSCP National Conference, including the compliance industry’s most pressing challenges, from shifting regulator relationships and looming leadership gaps to mounting burnout risks. Critical Questions Powered by Red Oak Transcript Read…
Red Oak, the only modern compliance ecosystem that connects every stage of content creation, review, distribution, and surveillance for the financial services industry today announced the appointment of Kirsten Newbold-Knipp as Chief Operating Officer. In this role, Newbold-Knipp will report directly to…
Red Oak, the only modern compliance ecosystem that connects every stage of content creation, review, distribution, and surveillance for the financial services industry, and MirrorWeb, a pioneer in compliance surveillance and archiving technology, today announced a strategic partnership that brings together Red…
Overview Listen The piece makes the case that AI innovation in compliance—especially in ad review—is moving away from building and training custom large language models. Instead of chasing slightly “smarter” models, it points out that today’s off-the-shelf LLMs are already…
Austin, TX – August 12, 2025 – Red Oak, the industry’s first and only Compliance Connectivity Platform, today announced its inclusion on the 2025 Inc. 5000 list of the fastest-growing private companies in America. This milestone marks Red Oak’s seventh…
Strengthens Senior Team to Scale Compliance Connectivity Platform and Deliver Greater Value to Financial Services Industry AUSTIN, TX, UNITED STATES, July 10, 2025 — Red Oak, the industry’s only Compliance Connectivity Platform, today announced the appointment of Allison Dancy as…
AUSTIN, TX, UNITED STATES, June 12, 2025 — Red Oak, the industry’s only Compliance Connectivity Platform, today announced key leadership transitions to strengthen its executive team, accelerate growth and deepen engagement with financial services clients. Current board member, Denise Wypiszenski…
Overview Listen This document from Red Oak offers a comprehensive checklist for compliance professionals to evaluate AI tools for advertising review. It highlights the importance of distinguishing true AI from basic keyword scanners and emphasizes that a suitable solution must…
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 AI-driven compliance review tool is fully launched, and our clients…
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 — originally built for general messaging and later adapted for…
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 Out, Deepening Roots, and Expanding Horizons”—we leaned into what’s ahead…
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 where business conversations are happening – from email and text…
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 sessions, great conversations, and even a late-night detour to see…
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 and analytics platform for the investment industry. This strategic combination…
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 Oak Compliance) to discuss challenges and best practices for supervising…
Overview Listen An article titled “Common AI Pitfalls in the Financial Compliance Industry,” discusses the growing role of Artificial Intelligence in financial compliance and highlights potential challenges firms face when implementing AI solutions. It emphasizes that effective AI integration requires…
Overview Listen The provided text highlights the critical role of affiliate monitoring in modern digital marketing, emphasizing its importance for both regulatory compliance and business growth. It explains that while affiliate marketing offers significant benefits, it also presents compliance, operational,…
Overview Listen The provided text discusses the crucial role of social media compliance in the financial industry, highlighting the regulatory frameworks established by FINRA and the SEC. It explains that compliance involves ensuring transparency, accuracy, and accountability in all digital…
Overview Summary This guide outlines a nine-step process for firms to implement a Residential Supervisory Locations (RSLs) compliance program, effective June 1, 2024, under updated FINRA rules. It explains how certain home offices can now be designated as RSLs, moving…
Overview Summary The source provides an in-depth analysis of two new Financial Industry Regulatory Authority (FINRA) rules that significantly alter how firms supervise remote personnel and locations. FINRA Rule 3110.19 establishes criteria for designating a private residence as a Residential…
Overview Summary The source, an article titled “Compliance at a Crossroad: Preparing for Change Under the Incoming Trump Administration,” addresses the significant uncertainty facing compliance professionals in anticipation of a new presidential term. Written by Stephen Pope, Founder of Red…
Overview Summary A webinar hosted by Red Oak that focuses on helping financial firms navigate new FINRA regulations concerning Residential Supervisory Locations (RSLs) and remote inspections. The discussion features compliance experts who outline the requirements, challenges, and opportunities presented by…
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 approach supervisory oversight, our expert panel broke down the most…
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 for the sixth consecutive year. This recognition underscores Red Oak’s…
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 Artificial Intelligence,” we were joined by industry experts Gregory Evans,…
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 Compliance module. This solution empowers firms to effectively monitor and…
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…
Overview Summary The source outlines FINRA’s mandatory transition from its legacy Web EFT (Electronic File Transfer) platform to a new API-based infrastructure, effective with the platform’s full retirement on April 30, 2025. The new API provides significant advantages over the…
Overview Summary The source material argues that while Artificial Intelligence (AI) can significantly enhance efficiency in financial services compliance, it will not replace human professionals, particularly in the foreseeable future. The text explains that the complexity and ambiguity inherent in…
Overview Summary The provided text explores the complex regulatory challenges presented by financial influencers, or “finfluencers,” in the financial services industry. It highlights how the democratization of financial advice through social media introduces significant risks due to finfluencers often lacking…
Overview Summary The provided text offers an AI glossary specifically curated for compliance professionals, highlighting the transformative potential of artificial intelligence in the financial services sector. It illustrates a progression from foundational rule-based systems to sophisticated generative AI and large…
Creating a compliance budget should take into consideration both internal and external impacts – including the organization’s goals, market focus, relationships between teams, regulatory requirements and cultural expectations. Start asking the right questions and building a budget that prioritizes the…
As your company works toward strategic success, the technology you choose plays a pivotal role in your ability to manage services, automate processes, and, ultimately, serve your customers and clients.
Compliance professionals are expected to be well-versed on the past; be fully immersed in current issues/trends; and be part of strategic preparations for future success.