Tag: Red Oak

Artificial intelligence has long played a role in regulated financial services, with machine learning, automation and pattern recognition already embedded across many operational systems....

For years, RegTech was viewed as the quiet cousin of the FinTech revolution—a necessary, often invisible layer of digital defence. But as we move...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to the financial services industry: the pace of GenAI adoption is outstripping the...

RegTech is leaving 2025 in a very different place to where it stood even a few years ago. What was once a niche layer...

For decades, compliance has relied on static rules, watchlists and retrospective checks, creating growing volumes of noise while critical risks slip through the cracks....

The latest findings from the FINRA Foundation’s National Financial Capability Study point to a decisive shift in how U.S. investors approach the markets. The...

Regulations are no longer a fixed set of rules—they’re a constantly shifting landscape that challenges even the most seasoned compliance teams. Staying ahead isn’t...

The RegTech sector has spent the past decade in a phase of rapid expansion, fuelled by regulatory complexity, investor enthusiasm and a constant stream...

FINRA has stepped up its modernisation efforts this year through FINRA Forward, a programme designed to strengthen the organisation’s regulatory effectiveness in an era...

The US SEC has set out its examination priorities for 2026, signalling that regulated firms should brace for more stringent oversight of their technology...