Compliance Services
for Broker Dealers and
Investment Advisers
Take Your Compliance Program to the Next Level
With over 115+ years of combined compliance expertise, Red Oak helps 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.
How Red Oak Can Help You with Compliance Consulting
Decades of Regulatory Expertise
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.
Streamlined Compliance
Red Oak combines consulting expertise with our advanced compliance technology, helping you optimize your compliance processes. Our solutions reduce manual tasks and improve regulatory response times, letting you focus on growing your business.
Cost-Efficient, Flexible Staffing
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.
Client-Focused Support
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.
Broker-Dealer
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.
Our Broker-Dealer Compliance Services Include:
- Reg BI and Form CRS
- DOL PTE 2020-02 Test
- Insider Trading
- Full Web CRD Management of all Required BD and U-4/U-5 Filings
- Advertising Review
- AML Audit/Independent Testing & Procedures
- Annual Compliance Meetings
- Compliance Procedures/Manuals - Creation, Customization and Review
- Mock FINRA Examinations
- Regulatory Examination Assistance
- 3120/3130 Supervisory Controls Assessments
- Surveillance
- CE Plan Creation and Review
- Website Monitoring
Investment Adviser
The Investment Advisers Act 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 Investment Adviser Compliance Services Include the following:
- Form CRS
- Annual 206(4)-7 Risk Assessment
- Advertising Review
- Annual Form ADV Review, Revisions and Filings
- Compliance Manual Creation/Customization/Review
- Investment Advisory Agreements Creation/Customization and Review
- All ADV and U-4 Amendments as needed
- Mock Audits for SEC and State Advisers
- DOL PTE 2020-02 Test
- Review and Monitoring of Outside Business Activity
- E-Mail Review
- Fee Calculation Analysis and Billing Monitoring
- Cash Reviews
- Endorser and Testimonial and Supervision
- RIA Registration
- Continuing Education
- 13F and Proxy Voting
Streamline Compliance. Avoid Penalties. Maximize Profitability.
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.
Our Industry-Leading Reputation
