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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 resources you need to be successful.

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.

Regulations change on a daily basis. Take comfort in knowing that Red Oak is monitoring the regulatory industry to keep you informed on the latest rules.

Read the latest compliance alerts and information from the following sources:

Latest FINRA Notices/Rule Filings and SEC Press Releases


Six Charged in Silicon Valley Insider Trading Ring


Tuesday, June 15, 2021
The Securities and Exchange Commission today announced insider trading charges against a Silicon Valley trading ring whose members generated nearly $1.7 million in illegal profits and losses avoided by trading... [...]

SEC Charges Issuer With Cybersecurity Disclosure Controls Failures


Tuesday, June 15, 2021
The Securities and Exchange Commission today announced settled charges against real estate settlement services company First American Financial Corporation for disclosure controls and procedures violations related to a cybersecurity vulnerability... [...]

SEC Awards Approximately $3 Million to Two Whistleblowers


Monday, June 14, 2021
The Securities and Exchange Commission today announced an aggregate award of approximately $3 million to two whistleblowers whose information and assistance led to a successful SEC enforcement action.  The whistleblowers... [...]

SEC Announces Annual Regulatory Agenda


Friday, June 11, 2021
The Office of Information and Regulatory Affairs today released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange... [...]

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