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Services

We help new and existing firms meet all regulatory requirements.
 

The explosive growth of regulatory enforcement actions over the past several years has created a need for a firm such as Red Oak Compliance Solutions to help deal with the ever-increasing compliance obligations in this challenging regulatory environment. Red Oak has the industry experience, compliance expertise, and knowledge of the regulatory requirements to fulfill your compliance needs. Red Oak’s services are designed to help reduce your regulatory risk while enabling you to focus on other priorities.

For new firms, Red Oak offers customized registration services to get your new firm up and running.  Our compliance professionals can explain the registration process and requirements, prepare and file your application, and work with regulators until you are approved to conduct business.

Red Oak also provides a full complement of compliance services for existing firms. These services include custom on-going compliance programs and à la carte services as needed.

 

 

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