Investigations and regulatory requests
Find the relevant records. Build a documented response.
When a regulator asks, a subpoena arrives or an internal issue needs investigating, bring supported communications into a focused review and response process.
Request
Opened Oct 27 · Paula Nash
Information request · Rule 8210
Request for information
Kelderwick Partners · received Oct 27
Provide the communications Dana Reed1 sent or received about IRA rollovers2 from October 1 to 24, 20263, with the date, channel and participants of each.
Archive search
Scoped to the request
- 1PersonDana Reed
- 2Termrollover
- 3DatesOct 1 to 24
- Your rollover optionsEmail · Oct 13, 4:20 PM
- Yes. I will send the rollover options.Text · Oct 14, 9:44 AM
Vault
Rule 8210 request, Dana Reed
- Dana Reed and Ellen ColeText · Oct 14Saved
- Your rollover optionsEmail · Oct 13Saved
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What is your firm being asked for?
A regulator, a court or your own team can ask. Each request sets its own scope, and your counsel confirms what it requires. Red Oak supplies the supported records and the review workflow behind the answer.
General information, not legal advice.
Regulatory request
- Who asks
- Examiners and investigators
- What it sets
- Specific information or records, provided promptly
- FINRA Rule 8210(a)
- SEA Rule 17a-4(j)
- Advisers Act Rule 204-2(g)(2)
This requestReceived Oct 27 · Dana Reed, rollovers
Subpoena or legal request
- Who asks
- The issuing authority, with your counsel
- What it sets
- Scope, preservation needs and response requirements
Internal investigation
- Who asks
- A complaint, a tip or an escalated flag
- What it sets
- A defined question, and a record of what the team decided
How it works
Start from the question the request asks.
Three steps follow a request through Red Oak: focus the search on the question, review each conversation in context with its decision recorded, and prepare the records and response materials.
01
When the records are spread out
Focus the search on the question.
Search the communications Red Oak has captured by term, person, platform, user and status, so the scope of the request becomes the set your team works from.
- Email, collaboration tools, text and messaging apps and social media sit in one archive.
- Access to search follows the roles your administrators manage.
Archive search
Rule 8210 request, Dana Reed
- Termrollover
- PersonDana Reed
- PlatformAll
- UserAny
- StatusCaptured
- DatesOct 1 to 24
- Your rollover optionsEmail · Dana Reed to Ellen Cole · Oct 13, 4:20 PM
- Yes. I will send the rollover options.Text · Dana Reed to Ellen Cole · Oct 14, 9:44 AM
- Rollover options are attached. Call me with questions.Text · Dana Reed to Ellen Cole · Oct 14, 9:52 AM
- I promise I will send the rollover options by Friday.Email · Dana Reed to Ellen Cole · Oct 14, 10:15 AM
02
When one message is not the whole story
Review the context. Record the decision.
Reviewers read each conversation in its native format, so no message is judged on its own line. A reviewer records each decision with its reason, or escalates the item with a note. A person makes every decision.
- Each review action lands on the audit trail with the reviewer's name.
- Where Mira is used, it shows its reasoning, and a reviewer decides.
Ellen Cole and Dana Reed
Text · Oct 14 · Native format
Ellen Cole9:41 AM
Can we talk about moving my old 401(k) into an IRA?
Dana Reed9:44 AM
Yes. I will send the rollover options.
Dana Reed9:52 AM
Rollover options are attached. Call me with questions.
AIWhere Mira is used
The conversation asks for rollover options. No policy is matched.
Audit trail
- MOMarcus Okafor opened the threadOct 28 · 2:05 PM
- MOMarcus Okafor recorded no further actionReason: The client asked for options, and the options were sent.Oct 28 · 2:18 PM
03
When handoffs pull the work apart
Prepare the records and response materials.
Save relevant results to a vault for the request, so its records sit together. The records, the review record and activity reports stay separate, and the people authorized to respond decide what goes in.
- Supervision reports open each number to the messages behind it, with CSV and PDF output.
Vault
Rule 8210 request, Dana Reed
WORM storage- Your rollover optionsEmail · Oct 13Saved
- Dana Reed and Ellen ColeText thread · Oct 14Saved
Review record
- MOMarcus Okafor no further actionThe client asked for options, and the options were sent.Oct 28
- PNPaula Nash added a noteShared with counsel for the response.Oct 29
Review activity
Oct 1 to 24
Dana Reed, Branch 114Each number opens to the messages behind it
Investigations and requests, answered.
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You can search the communications Red Oak has captured for your firm, by term, person, platform, user and status. That covers the channel families your firm connects, such as email, collaboration tools, text and messaging apps and social media. See the investigation workflow
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Red Oak supports the work with search across captured communications, review in the conversation's thread, an audit trail of review actions and a vault for the results a request needs. Your team sets the scope with counsel, and authorized people decide the response. See the investigation workflow
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Relevant results save to a vault for a regulatory or litigation request. Review actions are recorded on the audit trail with the name of the person who took each one, and supervision reports open each number to the messages behind it, with CSV and PDF output. Your team and counsel decide what a response contains. See the investigation workflow
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Where your firm uses Mira, it reads your supervision policies, builds risk categories from them and checks captured messages against them, with its reasoning beside each flag. A person makes every review decision. Mira flags and suggests, and it does not approve or determine what happened. See how Mira works
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Red Oak does not replace counsel. Counsel decides scope, privilege, preservation and what a response contains, and Red Oak supports finding, reviewing and documenting the communications it has captured. Whether a matter also calls for an eDiscovery platform is your counsel's judgment. See the investigation workflow
More on review, records and capture.
See how your team could handle the next request.
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