With over 120+ years of combined compliance expertise, Red Oak Consultants help broker-dealers and investment advisers streamline their regulatory processes and reduce the risk of non-compliance. Whether it’s a la carte services or customized programs, our tailored solutions keep you ahead of SEC and FINRA regulations—so you can focus on growing your business.
Our senior consultants bring decades of hands-on experience in financial services compliance, offering unmatched expertise in SEC and FINRA regulations to minimize your risk of penalties and regulatory inquiries.
Avoid the expense of full-time compliance hires without compromising on quality. Our scalable consulting model ensures you have access to the highest level of expertise while reducing operational costs.
Our clients are at the center of our approach, and we pride ourselves on our level of client support. We tailor our solutions and services to address the unique challenges of your firm.
FINRA mandates that all broker-dealers maintain robust compliance programs. With the increasing complexity of regulations, staying compliant is more challenging than ever. Red Oak’s comprehensive compliance programs ensure that your policies, procedures, and operations are fully aligned with regulatory standards.
Whether you need a full compliance overhaul or targeted support, Red Oak’s services can augment your team’s skills and allow you to fill gaps, enhance your team's capabilities, and reduce your compliance burden, helping you improve efficiency, profitability, and make your job easier.
The Investment Advisers Act S/B SEC Rule 206(4)-7 mandates that firms develop and maintain robust compliance programs with written policies and procedures reasonably designed to prevent violation of regulation. Failure to comply can result in penalties, including firm dissolution.
Red Oak keeps your firm safe by monitoring SEC and state regulation changes, ensuring your compliance programs are always up-to-date. Our experts help you stay proactive, not reactive—so you avoid regulatory scrutiny and costly fines.
Our Broker-Dealer Compliance Services Include:
Our Investment Adviser Compliance Services Include the following:
Don’t wait until regulatory issues arise—safeguard your firm today. Speak with a Red Oak compliance expert to streamline your compliance processes, minimize risk, and boost profitability.