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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


SEC Charges Under Armour Inc. With Disclosure Failures


Monday, May 3, 2021
The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning... [...]

Regulatory Notice 21-17


Thursday, April 29, 2021
Summary FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative... [...]

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