Operational Risk Management

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
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