Red Oak Compliance Solutions

industry leading compliance workflow software, expert compliance consulting. we help firms meet regulatory requirements and increase roi. bottom line - we have deep experience on both sides of the business and use it to customize a solution that best fits your firm's needs. products: red oak software, a comprehensive suite of sec 17a-4 compliant features, tailored to meet the evolving needs of financial firms, small and large. our workflow software is the compliance review platform of choice in the financial services industry with clients having over $14 trillion in assets under management. software highlights: advertising review, correspondence, events, gifts, political contributions, non-cash compensation, complaints, annual questionnaires, new hire paperwork, regulatory inquiries, outside business activities, adv part 2b, registration requests, branch exams, and much more! services: the explosive growth of regulatory enforcement actions over the past several years has created a need for compliance and regulatory specialty firms to help manage the ever-increasing compliance obligations in this challenging regulatory environment. sec non-compliance penalties can ruin a firm. structured compliance programs, with well-defined policies and procedures, are essential to help reduce your regulatory risk. our team stays abreast of new sec and state rules and requirements, allowing us to evaluate, detect and resolve risks found in your compliance program; custom design programs to prioritize, define and execute improvements; and offer up-to-date advice ensuring your firm stays compliant as these changes occur. services highlights: annual risk assessments and compliance reviews; policies and procedures creation/customization/reviews; reviews/monitoring - advertising and correspondence, social networking, e-mail, fee calculation analysis and billing, outside business activities; mock audits, sec and state exams; books and records; training; and much more!

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