RegEd
byRegEd
RegEd's Enterprise Compliance Management Platform is a comprehensive solution designed to automate and streamline compliance processes for financial services firms. It offers over 20 integrated compliance and credentialing solutions, enabling organizations to consolidate vendors, reduce complexity, and enhance operational efficiency. The platform supports compliance with various regulatory bodies, including FINRA, SEC, and state Departments of Insurance, and provides tools for managing advertising reviews, conflicts of interest, branch audits, and more.
Features
- Unified solution for agent and advisor onboarding and compliance management
- Efficient management of requirements from FINRA, SEC, state DOI, and other regulators
- Advertising review capabilities to ensure marketing materials meet regulatory standards
- Branch audit management to plan, schedule, conduct, and report on branch inspections
- Complaint management system to capture, track, and resolve complaints systematically
- Compliance questionnaires for initiating, distributing, and tracking annual compliance assessments
- Regulatory change management to monitor, analyze, and implement regulatory changes
- Personal securities account management to supervise and report on personal trading accounts
- Policies and procedures management for comprehensive administration and oversight
- Integrated remediation and resolution capabilities for audit findings
- Support for remote inspections under FINRA’s pilot program
- Offline and mobile support for audit processes
- Risk scoring and analysis across multiple business units and branch locations
Categories
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