Products
Red Oak Products
Each product below covers one part of your compliance program and links to what it includes.
Six products, each built for one part of your compliance program.
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MOMarcus Okafor
DRDana
PNPaula
RegisteredRenewal due
01
Compliance management
Keep licensing, supervisory assignments, policies, and your code of conduct current and on record.
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Disclosures
Marketing rules
Approved
02
Marketing Compliance
Marketing content checked against your rules and required disclosures, then approved before it goes out.
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Fact sheet
HWHarrowgateDelivered
PRPike & RoweOpened
KPKelderwickSent
03
Distribution
Approved content moved to wealth management firms, and their advisors, with engagement reported back to the investment company.
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That fund cannot lose money.
FlaggedMOPromissory statements
04
Supervision
Captured communications and firm websites reviewed against your own policies, with every decision on record.
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Captured
EC
DR
05
Archiving
Books and records retained, searchable, and producible on request.
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ReviewedFlaggedApproved
06
Analytics
What was reviewed, flagged, approved, and engaged with, drawn from each product's own records.
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Start with the product you need first
The first conversation walks through that product in Red Oak and the decision record it leaves.