COMPLIANCE MANAGEMENT SOLUTION SUITE
Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.
Advertising Review
Enterprise software powered by advanced technology to automate and streamline marketing compliance review and speed time to market. Learn more.
Branch Audit Management
Enterprise software solution to efficiently plan, schedule, conduct, resolve and report on branch inspections in accordance with FINRA Rule 3110 and other regulatory guidelines. Learn more.
Complaint Management
Enterprise software solution to systematically capture and track complaints and streamline the end-to-end process of resolution and remediation. Learn more.
Compliance Questionnaires
A robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires integral to maintaining a strong compliance program. Learn more.
Form ADV Part 2B
Supplement
Electronic workflow solution integrates with existing representative data (stored by RegEd and/or FINRA) to streamline compliance. Learn more.
Gifts, Gratuities and
Contributions
Manage the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions. Learn more.
Outside Business
Activities
Enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication to speed the decision process. Learn more.
Personal Securities Account Management
Automate and streamline the time consuming supervision and reporting of personal trading accounts. Learn more.
Policies & Procedures
Management
An enterprise software solution that enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures. Learn more.
Regulatory Change
Management
A workflow-enabled enterprise software solution that provides firms with everything they need to be aware of, comply with, and demonstrate compliance with all relevant regulatory changes. Learn more.
Regulatory Examination
Management
The only solution that provides all the necessary capabilities to efficiently and effectively manage the myriad of tasks undertaken during the course of a regulatory examination. Learn more.
The leading choice of compliance, operations and technology stakeholders across hundreds of financial services firms, RegEd’s applications deliver proven, robust, compliance-optimized capabilities that enable extraordinary efficiency and strong compliance oversight, dramatically reducing the risk of non-compliance.
COMPLIANCE MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for compliance management, from industry and RegEd subject matter experts.
WHITEPAPER: The State of Branch Office Inspections
To gain insight into the current state of branch examination programs among mid-sized and large U.S. broker-dealers, RegEd partnered with Essential Edge, a trusted compliance consulting and outsourcing firm, to undertake a comprehensive survey.
CELENT WEBINAR: Marketing Compliance in the Financial Services Industry
This webinar features Neil Katkov, PhD, Director of Risk at Celent, and RegEd Product Management leaders who provide an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
NEWS: RegEd’s Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone
RegEd recently announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 6 million submissions to date.
CONTACT US
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.