Don’t Miss Red Oak Compliance at the 2018 FINRA Small Firm Conference – November 7-8th, San Diego.
Recent Posts
Our team had a blast hitting the road for two of the biggest compliance events this spring—IAA’s Compliance Conference in DC and SIFMA’s C&L Annual Conference in Austin. Between packed…
On March 6, Red Oak joined up with compliance experts Suzanne Denby (AVP, Supervision and Suitability, HTK), Matthew Johnson (Director, Compliance & AML Officer, Kestra Financial), and James Cella (Red…
The integration of Artificial Intelligence (AI) into advertising review processes promises to transform the regulatory landscape across the industry. In our recent webinar, “AI in Compliance: Enhancing Advertising Review with…
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