Operational Risk Management

Governance Controls

Red Oak Partners employs a rigorous governance process, including:

• A formal compliance program
• Adherence to the Red Oak Partners Code of Ethics
• An extensive internal policy and procedures regimen
• Employment of best in class vendors and outsource providers

Fraud Prevention

All wires require dual signatures and authorization (one from PM / CFO, one from outside Fund administrator).

Disaster Recovery

• All emails, folders, and files maintained by host provider, accessible anywhere at any time
• Daily and intra-day backups performed on all files to off-site location
• Hosted prime broker system is accessible anywhere at any time