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
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
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
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
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
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
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
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
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
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
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 done many great things over
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 roll out a great deal
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 funds that purport to be
