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Supervisory Services

Focus on your core goals while we take care of compliance.

We understand the enormous demands made on today’s investment advisory firm managers. Our compliance professionals have in-depth expertise in investment adviser regulatory requirements and broad experience in the investment adviser compliance and supervisory industry. Let Red Oak relieve your firm of the expense and burden of training and maintaining in-house compliance and supervisory staff, so you may focus on your core business objectives – growing your business and offering your clients appropriate investment products. Red Oak can perform all of your supervisory functions and help keep you compliant.

Our Supervisory Services Include the Following:

  • Creation of Written Supervisor Procedures
  • Ongoing Supervision of IAR Recommendations
  • Best Execution Verification
  • Outside Business Activity Review
  • Personal Securities Transaction Review
  • Account Analysis and Exception Reporting
  • E-Mail Monitoring and Archival
  • Correspondence Review and Archival
  • Social Networking Compliance Review
  • Solicitor Review and Supervision
  • Fee Calculation Analysis
  • Billing Monitoring Training

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