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News + Insights - Compliance

 
Monday, January 10 2022

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]
Monday, December 27 2021

New Year, New Rules.

Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome.   We’re not telling you anything you don’t already know.   One thing that makes regulatory compliance tedious... [...]
Tuesday, November 9 2021

Red Oak COO Cathy Vasilev Honored among Inspiring Women Leaders

In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams.   Among her many responsibilities, Cathy oversees software implementations... [...]