Enterprise
Agile compliance for the complex enterprise
Red Oak helps your teams focus review on real risk, move marketing through approval faster, and keep decisions on record across your firm’s entities and workflows.
37 of 40
top global asset managers
$101T
AUM across our clients
1,550+
regulated firms use Red Oak
16 years
supporting financial services clients
One enterprise. More than one way of working.
Different businesses need different controls, but your firm still needs to coordinate compliance across them.
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Multiple entities
Apply rules suited to each entity’s products and audiences.
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Different workflows
Route review and supervision to the teams responsible.
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Shared accountability
Maintain oversight across the firm.
Three products
Review, supervise, and distribute content across your enterprise.
Each Red Oak product stands on its own, so you can choose the capabilities your firm needs.
Advertising Review
Get marketing through compliance review faster.
Bring marketing and compliance together in workflows tailored to each entity and product line.
- Run lexicon and disclosure checks before a reviewer opens a piece.
- Set routing, roles, and rules for each business.
- Keep versions, comments, and approvals on one record.
Routing by entity
Retirement income brochure, Q3
FundsRetirement income funds
AdvisoryAdvisory clients
Communications supervision
Focus review on the conversations that need attention.
Assess captured messages against your firm’s policies and route potential issues according to your supervisory structure.
- Route flags to queues with named owners across regions, branches, OSJs, and desks.
- Show the policy and handbook clause behind each flag.
- Keep people responsible for review decisions, with actions recorded by name.
Structure
Kelderwick Partners
- Kelderwick PartnersFirm
- SecuritiesEntity
- Northeast regionRegion
- Hartford OSJOSJ
- Branch 114MOMarcus OkaforBranch
- DRDana Reed
- LBLeo Brandt
- Branch 207Branch
- JPJake Price
- Branch 114MOMarcus OkaforBranch
- Boston OSJOSJ
- Boston deskDesk
- Hartford OSJOSJ
- Northeast regionRegion
- AdvisoryEntity
- FundsEntity
- ComplianceCompliance
- SecuritiesEntity
Branch 114 review queue
Owner: Marcus Okafor
- Dana ReedEmail · Promissory statements · Oct 14Flagged
Distribution
Get approved content to advisors across your distribution network.
Investment companies can reach the wealth firms they choose while each firm controls what its advisors can access.
- Investment companies submit once and track status at each firm.
- Wealth firms clear content under their own rules before advisors see it.
- Advisors find cleared content in a portal; investment companies can see engagement.
Example: a wealth management firm
Kelderwick Partners
Core Bond Fund quarterly fact sheetFact sheet
From Calder Wren Distributors
- LVLeah Vance cleared itUnder Kelderwick Partners’ rulesBefore advisers see it
Advisor portal
- DRCore Bond Fund quarterly fact sheetFound by Dana ReedCleared
Example: an investment company
Calder Wren Distributors
Core Bond Fund quarterly fact sheetFact sheet
Submitted once by Owen Hayes
Status at each firm
- Kelderwick PartnersCleared
- Harrowgate WealthIn review
- Pike & RoweSubmitted
Start where you need to. Expand when you’re ready.
Choose an initial priority or plan a broader rollout around your existing systems and contracts.
- Address a specific needStart with a product such as Advertising Review, or use Mira alongside your existing archive without migrating its data. Browse the products
- Build toward a broader platformAdd review, distribution, supervision, and archiving as priorities and contracts allow. If you move an archive, Red Oak’s migration method brings your history across. Explore the platform
Plan and implement around your enterprise.
Red Oak works with your team to plan an approach around your organization, existing systems, and requirements.
- DiscoveryUnderstand your entities, policies, teams, and existing tools.
- ConfigurationSet up review workflows and supervisory structures.
- Integration planningPlan connections with your identity provider and other systems.
- Rollout and trainingPrepare reviewers and administrators to use the platform.
Your firm remains responsible for its compliance program. Your security team can review security, retention, and access information in the Trust center.
See where Red Oak fits your enterprise.
Discuss your entities, existing systems, and priorities with our team.
Enterprise compliance, answered.
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Advertising Review follows workflows configured for each entity and product line. In supervision, the organization hierarchy aligns review assignments with supervisory responsibilities.
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Yes. Start with the product you need and add others when you’re ready. For example, Mira can supervise alongside your existing archive without migrating its data. Explore the platform
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Scope is set in conversation with your team, around your entities, the systems you run and the contracts already in place. Red Oak works with you on discovery, configuration, integration planning and training. Your administrators set single sign-on through your identity provider and manage roles, assignments, invitations, and resets themselves. Discuss your requirements
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The Trust center is the place to start. It sets out Red Oak's security, retention and access information, and it is where your team requests security documentation. Inside the platform, one permission service decides access across search, messaging, reporting, and the archive, and every review action lands on the audit trail with the name of the person who took it. Trust center