Wed, 14 Oct 2026 07:10:29 -0400 https://www.buzzsprout.com/2556445 en-us © 2026 Red Oak's Podcast yes 0fed8d6f-6d93-5daf-b754-2152df84f459 Red Oak episodic false Buzzsprout (https://www.buzzsprout.com) Red Oak What the SEC Is Asking About AI and What Firms Should Be Ready to Produce Red Oak Buzzsprout-19509401 Fri, 17 Jul 2026 14:00:00 -0400 409 full false The Ad Review to 4U Connector is Live Red Oak Buzzsprout-19460630 Tue, 07 Jul 2026 17:00:00 -0400 271 full false Firms are Consolidating. Should their Compliance Tech Stack?   Red Oak Buzzsprout-19337141 Fri, 12 Jun 2026 13:00:00 -0400 1378 full false Red Oak Reflects: 2025’s Contradictions and the Compliance Reality of 2026 2025 was a year of contradictions: explosive AI adoption with no governance, softer regulatory tone with unchanged rules, and rising innovation alongside rising risk. In this episode, Red Oak’s thought leaders break down what really happened in 2025—and why 2026 will demand faster, smarter, connected ways of working across compliance, marketing, distribution, and supervision. From AI auditing AI to the coming wave of retrospective enforcement, this conversation makes one thing clear: firms that stay siloed won’t survive what’s next.

]]> 2025 was a year of contradictions: explosive AI adoption with no governance, softer regulatory tone with unchanged rules, and rising innovation alongside rising risk. In this episode, Red Oak’s thought leaders break down what really happened in 2025—and why 2026 will demand faster, smarter, connected ways of working across compliance, marketing, distribution, and supervision. From AI auditing AI to the coming wave of retrospective enforcement, this conversation makes one thing clear: firms that stay siloed won’t survive what’s next.

]]> Red Oak Buzzsprout-18507763 Wed, 14 Jan 2026 12:00:00 -0500 949 full false The Problem With “AI-First” Thinking in Compliance Red Oak Buzzsprout-18400742 Mon, 22 Dec 2025 12:00:00 -0500 883 full false AI in Compliance — Precision, Not Prediction Red Oak Buzzsprout-18399763 Mon, 22 Dec 2025 10:00:00 -0500 1186 full false FINRA Warns about GenAI Risks in 2026 Regulatory Oversight Report Red Oak Buzzsprout-18382599 Thu, 18 Dec 2025 19:00:00 -0500 768 full false Navigating a New Era of Investor Behavior: What FINRA’s Latest Study Reveals This episode unpacks FINRA’s latest National Financial Capability Study, revealing major shifts in investor risk appetite, information sources, and expectations. It highlights how these trends are playing out across Red Oak’s platform and what financial firms must do to support advisors and investors in a fast-changing landscape.

]]> This episode unpacks FINRA’s latest National Financial Capability Study, revealing major shifts in investor risk appetite, information sources, and expectations. It highlights how these trends are playing out across Red Oak’s platform and what financial firms must do to support advisors and investors in a fast-changing landscape.

]]> Red Oak Buzzsprout-18339657 Thu, 11 Dec 2025 16:00:00 -0500 784 full false SEC Clarifies When Personal Service Entities Can Receive Transaction-Based Compensation Red Oak Buzzsprout-18293756 Wed, 03 Dec 2025 14:00:00 -0500 560 full false FINRA Forward: How AI Is Transforming Compliance Oversight FINRA is reimagining regulatory oversight through generative AI — from market surveillance to compliance tools like FILLIP. In this episode, we unpack how these innovations are reshaping compliance expectations and what firms can do to stay ahead.

]]> FINRA is reimagining regulatory oversight through generative AI — from market surveillance to compliance tools like FILLIP. In this episode, we unpack how these innovations are reshaping compliance expectations and what firms can do to stay ahead.

]]> Red Oak Buzzsprout-18244543 Mon, 24 Nov 2025 11:00:00 -0500 833 full false SEC 2026 Exam Priorities Explore the SEC’s 2026 examination priorities shaping the financial industry’s next chapter, from heightened scrutiny of AI and automation to new demands for documented resilience across cybersecurity, data governance, and operational risk. Hear how firms can adapt to rising expectations for transparency, oversight, and proof of control in an era of accelerating complexity.

]]> Explore the SEC’s 2026 examination priorities shaping the financial industry’s next chapter, from heightened scrutiny of AI and automation to new demands for documented resilience across cybersecurity, data governance, and operational risk. Hear how firms can adapt to rising expectations for transparency, oversight, and proof of control in an era of accelerating complexity.

]]> Red Oak Buzzsprout-18226942 Thu, 20 Nov 2025 16:00:00 -0500 625 full false Reflections from the 2025 NSCP National Conference Listen to our key takeaways from the 2025 NSCP National Conference, highlighting the compliance industry’s most pressing challenges, from shifting regulator relationships and looming leadership gaps to mounting burnout risks. 

]]> Listen to our key takeaways from the 2025 NSCP National Conference, highlighting the compliance industry’s most pressing challenges, from shifting regulator relationships and looming leadership gaps to mounting burnout risks. 

]]> Buzzsprout-18186225 Thu, 13 Nov 2025 16:00:00 -0500 821 full false Monitoring Finfluencers In this episode we explore the complex regulatory challenges presented by financial influencers, or “finfluencers,” in the financial services industry. The democratization of financial advice through social media introduces significant risks due to finfluencers often lacking qualifications and making non-compliant statements. We discuss FINRA's increased scrutiny and provide detailed guidance for firms, emphasizing the necessity of robust monitoring systems to ensure disclosures, avoid promissory statements, and maintain clear, accurate messaging. Finally, we addresses the difficulties firms face in tracking diverse and frequently updated content across multiple platforms, underscoring the need for automated solutions like Red Oak's monitoring system to prevent regulatory penalties and reputational damage.

]]> In this episode we explore the complex regulatory challenges presented by financial influencers, or “finfluencers,” in the financial services industry. The democratization of financial advice through social media introduces significant risks due to finfluencers often lacking qualifications and making non-compliant statements. We discuss FINRA's increased scrutiny and provide detailed guidance for firms, emphasizing the necessity of robust monitoring systems to ensure disclosures, avoid promissory statements, and maintain clear, accurate messaging. Finally, we addresses the difficulties firms face in tracking diverse and frequently updated content across multiple platforms, underscoring the need for automated solutions like Red Oak's monitoring system to prevent regulatory penalties and reputational damage.

]]> Red Oak Buzzsprout-18185768 Thu, 13 Nov 2025 12:00:00 -0500 871 1 1 full false