Compliance Services
A la carte services to reduce your burden.
FINRA requires all brokers/dealers to develop and implement compliance programs which include written policies and procedures reasonably-designed to prevent violation of any regulatory rules. In today’s ever-evolving environment of rules and regulations, more time is required to accomplish this goal than ever before. Red Oak has compliance programs designed to help you meet your regulatory requirements.
Red Oak can augment your personnel’s skills and reduce your compliance burden with our à la carte services. These services cover the registration, compliance, or supervisory need that a broker/dealer may have. With over 40 years of combined experience, our highly-qualified compliance team can help you improve efficiency, increase profitability, and make your job easier.
Our Compliance Services Include the Following:
- AML Audit/Independent Testing
- AML Procedures
- Annual Compliance Meetings
- Books and Records Creation and Review
- Business Continuity Plan Creation and Review
- Compliance Procedures/Manuals Creation, Customized and Reviewed
- Customer Complaint Review & Form Filing
- Due Diligence/Product Reviews
- Mock FINRA Regulatory Examinations
- Regulatory Examination Assistance
- Regulatory Inquiry Assistance
- Regulatory Mandated Consulting
- Risk Assessment
- Regulatory Filings
- 3120/3130 Supervisory Controls Assessments
- Surveillance
- FINCEN Reviews
- CE Plan Creation and Review
Testimonials
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.
I have had the good fortune to have selected Red Oak Compliance as my compliance firm from the very start. They did everything from the advisory agreements to getting my firm registered. They will work with you from start to finish and provide excellent service. If you want things done right, go with Red Oak.
Randy Randall, Stephen Pope and Cathy Vasilev with Red Oak Compliance, thank you for your expertise and professionalism! It was a great pleasure working with you and I would not have been able to complete my book without your guidance, assistance and recommendations!
Awesome!! Thanks You Guys So Much for setting up my RIA!!
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!!
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 have been working with Red Oak’s AdMaster for almost a year now. I chose to use AdMaster because it is, in my mind, a superior product compared to their “mainstream” competitors. They were able to customize AdMaster to fit my BD and our structure. The best part about Red Oak is their customer service. It is truly unbelievable. There is nothing like emailing their support staff and getting a response immediately with a solution! Rather than waiting days for a return call/email. I know I can pick up the phone and call Cathy or Steve at any time. The unlimited document storage is great too!
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.
The Red Oak staff was prompt and professional in responding to designated FINRA audit considerations. Their evaluation and preparation of materials for submittal to FINRA was timely and persuasive.
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.