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Compliance Services

Save time and money by letting us keep you compliant.

The Advisers Act requires all investment advisers to develop and implement compliance programs. Such compliance programs must include written policies and procedures reasonably designed to prevent violation of the Advisers Act. In today’s ever-evolving environment of securities regulation, more time and attention is required than ever before. The penalties for non-compliance with SEC regulations can ruin a firm. We stay abreast of new SEC rules, state rules, and investment adviser regulatory requirements so that we only offer up-to-date advice to ensure your firm is in compliance as changes occur.

Red Oak can save you time and money by reducing your full-time staffing needs while staying compliant with the regulatory bodies and regulation alerts. Our highly qualified compliance consultants are here to help you improve efficiency, increase profitability, and make your job easier.

Our Compliance Services Include the Following:

  • Annual 206(4)-7 Risk Assessment and Compliance Review Form ADV Review and Revisions and Filings
  • Compliance Manual Creation/Customization/Review (Policies and Procedures) Investment Advisory Agreements Creation and Review
  • Solicitor Arrangements Creation and Review
  • Privacy Policy Creation and Review
  • On-site Compliance Assessment
  • Anti-Money Laundering Assessment/Implementation/Audits Mock SEC and State Exams
  • Advertising and Correspondence Review
  • Best Execution Verification
  • Outside Business Activity Review
  • Personal Securities Transaction Review
  • Account Analysis and Exception Reporting
  • E-Mail Monitoring
  • Social Networking Compliance Review
  • Solicitor Review and Supervision
  • Fee Calculation Analysis and Billing Monitoring
  • Training and Skills Transfer

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