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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


Regulatory Notice 21-08


Thursday, March 4, 2021
Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “supports@finra-online.com”.... [...]

Regulatory Notice 21-07


Thursday, March 4, 2021
Summary Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional... [...]

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