Compliance Services copy - Red Oak Compliance Solutions

Compliance Services

Save time and money by letting us keep you compliant.

The Advisers Act requires all investment advisers to develop and implement compliance programs. Such compliance programs must include written policies and procedures reasonably designed to prevent violation of the Advisers Act. In today’s ever-evolving environment of securities regulation, more time and attention is required than ever before. The penalties for non-compliance with SEC regulations can ruin a firm. We stay abreast of new SEC rules, state rules, and investment adviser regulatory requirements so that we only offer up-to-date advice to ensure your firm is in compliance as changes occur.

Red Oak can save you time and money by reducing your full-time staffing needs while staying compliant with the regulatory bodies and regulation alerts. Our highly qualified compliance consultants are here to help you improve efficiency, increase profitability, and make your job easier.

Our Compliance Services Include the Following:

Annual 206(4)-7 Risk Assessment and Compliance Review Form ADV Review and Revisions and Filings
Compliance Manual Creation/Customization/Review (Policies and Procedures) Investment Advisory Agreements Creation and Review
Solicitor Arrangements Creation and Review
Privacy Policy Creation and Review
On-site Compliance Assessment
Anti-Money Laundering Assessment/Implementation/Audits Mock SEC and State Exams
Advertising and Correspondence Review
Best Execution Verification
Outside Business Activity Review
Personal Securities Transaction Review
Account Analysis and Exception Reporting
E-Mail Monitoring
Social Networking Compliance Review
Solicitor Review and Supervision
Fee Calculation Analysis and Billing Monitoring
Training and Skills Transfer

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Testimonials

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!