Policies Management copy - Red Oak Compliance Solutions

Policies Management

POLICIES helps reduce regulatory risks and control costs associated with managing policies and WSPs. Replace time-consuming manual processes with our automated solution. It organizes, manages, and delivers your firm’s policies, procedures, WSPs, and other documentation into a centralized and online platform that can be accessed on both desktop and mobile devices.

POLICIES ensures compliance with FINRA rules 3110, 3120, and 3130 by making sure the most up-to-date policies and WSPs are accessed and utilized by your advisors.

With our powerful technology, you can improve policies presentation and usability while ensuring version control, taking your policy management to the next level.

Advisor Benefits

Easily search across multiple policies and WSPs.
View topics of connected content, questions, or policies.
Favorites feature allows advisors to build a personalized list of sections to easily access.
Release notes and updates allow users to easily view changes made between versions.

Supervisor Benefits

Automated audit trail of approvals, changes, and versions.
View, search, and export archived versions of Policies and WSPs.
Link policies to each other, to forms, to attachments, to FINRA rules, and more.
Increase efficiency by eliminating manual processes.
Easy to use workflow to review changes.
VIP Service: This service allows Red Oak Compliance to manage all changes, formatting, and online publishing for no additional charge.

Firm Benefits

Your Return on Investment

Reduce risks and lower costs associated with managing policies and WSPs with the Policies Module from Red Oak. Our full-service approach, intelligent technology, and reasonable pricing reduces your costs associated with creating, editing, formatting, publishing, and tracking changes to your policies and WSPs.

Download Our Policy Management Guide

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!!