Regulatory Compliance Support for Financial Firms

Clear answers. Careful review. Support for the compliance matters that require attention.

Oakbridge Compliance works with financial firms on the regulatory responsibilities that come with operating in a regulated environment. We assist with filings, written compliance requirements, annual reviews, risk assessments, testing, and regulatory updates.

Our work is centered on the firm's actual activities and applicable requirements, with recommendations that are clear, relevant, and practical.

 

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Compliance Assistance Where It Matters

Regulatory requirements vary depending on a firm's registration, activities, clients, and applicable rules. Oakbridge Compliance provides support to:

  • Registered Investment Advisers (RIAs)
  • Exempt Reporting Advisers (ERAs)
  • Broker-Dealers
  • Private Fund Managers
  • Municipal Advisors
  • Other regulated financial firms

We help clients address specific compliance assignments as well as recurring requirements throughout the year.

Services

Regulatory Filings

 

Assistance with registrations, amendments, and required SEC, FINRA, and state regulatory filings.

Written Compliance Requirements

Development, review, and updating of compliance policies and procedures, including the Code of Ethics.

Personal Trading Reviews

 

Review of employee personal securities transactions under the firm's applicable compliance requirements.

Risk Assessment

Review of compliance risks and areas that may require additional consideration or corrective attention.

Annual Compliance Review

A review of the firm's compliance program and applicable policies and procedures as required on an annual basis.

Compliance Testing & Documentation

Testing of compliance policies and procedures, together with documentation of the work performed and matters identified.

Regulatory Updates

Updates regarding regulatory changes that may affect the firm's compliance responsibilities.

When a Regulatory Matter Requires Attention

Compliance questions do not always wait for an annual review. Filing changes, policy updates, regulatory developments, and examination requests can arise throughout the year.

Oakbridge Compliance provides assistance with these matters, helping firms review the relevant requirements, determine what needs attention, and document the work performed.

Regulatory Examination Preparation

We assist firms preparing for SEC, FINRA, and state regulatory examinations by reviewing requested materials, evaluating relevant compliance documentation, and helping identify areas that should be addressed before responding to regulators.

A Different Way to Approach Compliance

Compliance Support Based on the Firm, Not a Template

Oakbridge Compliance takes the time to understand the firm's activities and regulatory responsibilities before providing recommendations.

Our work may involve reviewing existing materials, identifying gaps or inconsistencies, updating documentation, completing required testing, or addressing a specific regulatory matter.

The objective is simple: help the firm understand what is required and address the matters that need attention.