Resources
AI Glossary
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…
Breaking Down the SEC MMR Rule
Leveraging Technology to Streamline Compliance
Finlocity AI and Financial Services Sept 2020
Navigating FINRA’s New API for Registration Management
Making marketing and advertising review easy
5 Questions To Ask When Building Your Compliance Budget
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…
10 Questions To Ask When Choosing a RegTech Provider
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.
Ongoing Challenges for Compliance Professionals
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.
Red Oak Complaint Global Pitchbook Creation: Case Study
Building a Review Process that Works: Case Study
Sample SEC Document Request Letter – July 2015
Twelve Key Elements of an Investment Advisor’s Compliance Program
Guide to options and methods for funding your IARD account to pay state fees, etc.
Red Oak Compliance Recognized Among The Americas’ Fastest-Growing Companies by Financial Times – Press Release
Red Oak Compliance, a leader in advertising compliance technology for the financial services industry, has been named to The Financial Times list of The Americas’ Fastest Growing Companies 2021. The Americas’ Fastest Growing Companies highlights the companies and industries most…
Four potential holes in your E&O coverage
Red Oak Software_IT_Whitepapers_2018
Red Oak Ranks In Top 200 Among Inc. 5000 Regional List – Press Release
Recognition Positions Red Oak as One of the Fastest-Growing Private Companies in Texas. Red Oak Compliance was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region. The list highlights Texas businesses and organizations…
10 Takeaways from “Navigating FINRA’s New API for Registration Management” Webinar
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…
Reflections from the 2024 NSCP National Conference: 10 Takeaways from Our Consulting Team
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…
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: Affiliate Monitoring and Influencer Monitoring. These new modules enable compliance…
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 enhanced Registration Management module. The solution is designed to help…
Highlights from the 2024 FINRA Advertising Regulation Conference
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…
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 of The Americas’ Fastest Growing Companies 2024. With world-class year-over-year…
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 regulatory tasks. Among the leaders in this field is Red…
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 leading provider of regulatory compliance software for the financial services…
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 consulting services for the financial services industry, is thrilled to…
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 Solutions (ROCS), a leader in compliance software solutions, proudly welcomes…
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 provider of regulatory compliance software for the financial services industry,…
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 of creating a compelling compliance suite for the financial services…
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 and effectiveness for compliance and marketing teams. Red Oak Compliance…
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 industry needs to know about.” This year marks Red Oak’s…
5th Consecutive Year Red Oak Makes RegTech100
Red Oak Compliance, a leader in AI-powered advertising compliance technology, was once again named to the RegTech100 list. The list highlights tech companies transforming compliance, risk management, and cybersecurity. Red Oak Compliance, a leader in AI-powered advertising compliance technology, was…
RED OAK COMPLIANCE NAMED TO ESG FIN TECH100 LIST
We are thrilled to share that Red Oak Compliance, a leading provider of compliance software, has been included in the prestigious ESG FinTech 100 list. There has been a significant increase over the past year in the urgency for financial…
Red Oak Compliance Named To ESG FINTECH100 List – Press Release
Recognized for their innovative and intelligent software solutions for the financial services industry. Red Oak Compliance, a leading provider of comprehensively intelligent compliance software solutions, has been named to the ESG FinTech 100 list. This annual list features 100 of…
Red Oak Compliance Receives Fifth Consecutive Recognition on Inc. 5000’s List of Fastest Growing Private Companies
Red Oak Compliance has been named to the Inc. 5000 list of Fastest-Growing Private Companies for the fifth consecutive year. Red Oak Compliance ranked number 3,923 on the annual Inc. 5000 list by Inc. Magazine for 2023. The Inc. 5000…
America’s fastest-growing private companies for 2023
Red Oak Recognized for Fifth Consecutive Year on Inc 5000 List of Fastest Growing Companies RED OAK COMPLIANCE RECEIVES FIFTH CONSECUTIVE RECOGNITION ON INC. MAGAZINE ANNUAL LIST OF AMERICA’S FASTEST-GROWING PRIVATE COMPANIES Red Oak Compliance Solutions Appears on the Inc.…
RegTech100 List 2023, for Fourth Consecutive Year
RED OAK COMPLIANCE HONORED IN REGTECH100 LIST FOR FOURTH CONSECUTIVE YEAR This year marks the fourth year in a row that Red Oak has been included on the list. Being included on the list for four consecutive years would be…
Red Oak Named to AI FinTech 100 List
Red Oak has been named to the AI FINTECH 100 list for 2023. This prestigious list highlights 100 of the most innovative AI solution providers working in and transforming the financial services industry. The AI FINTECH 100 is an annual…
Red Oak Compliance Named To AI FINTECH 100 List
Red Oak Compliance, a leader in comprehensive intelligent compliance software solutions, was recently named to the AI FINTECH 100. The AI FINTECH 100 is an annual list of 100 of the world’s most innovative AI solution providers for financial services.…
Red Oak Named to AI FinTech 100 for 2023
Red Oak has been named to the AI FinTech 100, an annual list of 100 of the world’s most innovative AI solution providers for financial services. Red Oak Compliance, a leader in comprehensive intelligent compliance software solutions, was recently named…
The Time is Right
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 years, and it has…
Regulation, Regulation and More Regulation
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 of new legislation this year,…
The SEC’s Proposed ESG Disclosure Amendments
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 environmentally and socially conscious are…
2022 Highlights for Red Oak
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 to enhance our software and functionality, expanded our team of…
Red Oak Compliance Solutions Releases 2022 Year-End Highlight
A focus on delivering intelligent software backed by a strong customer centric business model leads to the company’s continued steady growth. Red Oak Compliance Solutions, a leader in advertising compliance review technology and comprehensive compliance software solutions, recently released an…
Red Oak Named to GRC Outlook Top 10 RegTech Solution Providers List for 2022
Red Oak was recently recognized as one of the Top 10 RegTech Solution Providers, according to digital publisher GRC Outlook. Why Did They Choose Red Oak? GRC Outlook published a profile highlighting each of the companies on their Top 10…