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Policy 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.

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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

  • More professional and branded appearance than pdfs or word documents.
  • Great presentation to the field/employees.
  • Reduce the amount of support time required by your team by providing an enhanced, self-service method to finding important documentation.

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.

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