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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.

RegTech100 List 2022 - Press Release

Red Oak Compliance makes REGTECH100 List, ranks among top Global Regulatory Compliance Innovators. 2022 Marks Third Consecutive Year on the List for the Austin-based Compliance Software Provider

Red Oak Ranks no. 4,011 on the 2021 Inc. 5000

Red Oak Compliance Solutions has again been selected for the prestigious Inc. 5000 list, ranking at number 4,011 on the annual list and reporting a 77 percent increase in revenue during the past three years.

Americas' Fastest-Growing Companies By Financial Times

This award is presented by The Financial Times and Statista Inc., the world-leading statistics portal and industry ranking provider.

INC 5000 Texas Regionals Press Release

Red Oak Compliance Solutions was recently named to the Inc. 5000 Regionals list for fastest-growing private companies in the Texas region.

America's fastest-growing private companies for 2019

Red Oak Compliance Solutions makes the Inc. 5000 list of America's fastest growing private companies for 2019

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 Reopens Comment Period for Pay Versus Performance


Thursday, January 27, 2022
The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by... [...]

SEC Proposes Amendments to Enhance Private Fund Reporting


Wednesday, January 26, 2022
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments are designed... [...]

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