Broker/Dealer Training Services

As the financial services industry continues to evolve and become more complex, it is essential that your firm have properly trained compliance professionals in place to protect your firm from regulatory scrutiny. It is often challenging to find quality ongoing training to keep your compliance personnel up-to-date on the latest regulatory requirements. Red Oak can train your compliance staff on the duties and responsibilities associated with their particular compliance duties or provide guidance on an "as needed" basis.

Red Oak can help you ensure that your compliance staff has the breadth and depth of knowledge they need to execute your compliance program. Your staff will be trained by experienced industry professionals who understand the business, technology, and regulatory environment. The training they receive will be customized to meet your firm’s specific requirements. It’s a fact that a well trained compliance team will help reduce your regulatory and financial risk.

Red Oak offers training in the following areas:

• Advertising and Website Compliance
• Senior Investors
• Business Continuity
• Anti-Money Laundering
• Regulation S-P (Privacy Policies)
• Branch Office Audit Reviews
• Books and Records
• Licensing and Registration
• Sales Practices Violations
• Investment Product Features and Best Practices
• New Regulations
• New Technology