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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


Regulatory Notice 21-27


Thursday, July 22, 2021
Executive Summary FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division... [...]

SEC Awards Nearly $3 Million to Whistleblower


Wednesday, July 21, 2021
The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. “The whistleblower alerted the... [...]

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