Compliance Consulting
Services
Leading Compliance Experts to Minimize Your Regulatory Risk
With over X years of combined compliance expertise, Red Oak helps broker-dealers and investment advisors streamline their regulatory processes and reduce the risk of non-compliance. Our tailored solutions keep you ahead of SEC and FINRA regulations—so you can focus on growing your business without the heavy administrative burden.
Test
The Investment Advisers Act mandates that firms develop and maintain robust compliance programs. 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 Advisor Compliance Services Include the Following:
Annual Reviews & Assessments
Annual 206(4)-7 Risk Assessment and Compliance Review
Mock SEC and State Exams
On-site Compliance Assessment
Policy Creation & Review
Compliance Manual Creation/Customization/Review
Investment Advisory Agreements Creation and Review
Solicitor Arrangements Creation and Review
Privacy Policy Creation and Review
Monitoring & Auditing
Anti-Money Laundering Assessment/Implementation/Audits
Advertising and Correspondence Review
Personal Securities Transaction Review
E-Mail Monitoring
Social Networking Compliance Review
Other Services
Best Execution Verification
Outside Business Activity Review
Fee Calculation Analysis and Billing Monitoring
Company
Consulting Services
