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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


Fee Rate Advisory #3 for Fiscal Year 2021


Friday, February 26, 2021
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2021 is... [...]

SEC Issues Whistleblower Awards Totaling Over $1.7 Million


Thursday, February 25, 2021
The Securities and Exchange Commission today announced awards totaling more than $1.7 million to two whistleblowers in separate proceedings.  Both whistleblowers provided Forms TCR to the Commission within 30 days... [...]

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