GIFTS, GRATUITIES & CONTRIBUTIONS: CAPABILITIES
The industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions.
Automated Alerts
Notifications to supervisors, compliance and other stakeholders when gifts, gratuities or other contributions are given or received.
Comprehensive Reports
Generate comprehensive reports by recipient, category, date range and other parameters.
Advanced Workflow
Route submissions via a pre-approval workflow leveraging the firm’s supervisory and organizational hierarchy.
Expense Management Integration
Capture post-event expenses or gifts from any expense system to eliminate duplicate entries. Automatically create a new submission using your pre-defined review process.
Threshold
Monitoring
Stakeholders can view previous gifts or entertainment related to a specific recipient, individual giver or multiple givers, to avoid exceeding contribution thresholds. Customize thresholds based on company policies and regulatory limits.
Best Practice
Compliance Content
Leverage turnkey content developed by RegEd subject matter experts as the basis for your own questionnaire and brochure output. Content maps to regulatory requirements and established industry best practices. Learn more.
Contact
Management
Standardize giver and recipient information to ensure proper accounting. Easily import client contact information to streamline the submission process, eliminate duplicate entries and ensure accurate threshold monitoring.
Streamlined
UX
Intuitive user interface to submit requests, check status, receive alerts on approval and view approved amounts against limits. Submitters can attach receipts or supporting documents to aid reviewers.
Gifts, Gratuities and Contributions leverages RegEd’s powerful platform capabilities to enable comprehensive monitoring, workflow-directed task management, real-time alerts to exceptions, and sophisticated hierarchy management.
GIFTS, GRATUITIES & CONTRIBUTIONS:
RELATED RESOURCES
Content covering the latest news and best practices for gifts, gratuities and contributions management, from industry and RegEd subject matter experts.
ARTICLE: SEC-Compliant Electronic Storage and Designated Third-Party Services
This article discusses how firms are required to maintain electronic records in a format that complies with SEC rules and how they can leverage RegEd’s electronic recordkeeping capabilities to comply with these requirements.
CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
VIDEO: Enterprise Gifts, Gratuities and Contributions Management
This video provides an overview of RegEd’s Enterprise Gifts, Gratuities and Contributions Management, the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
BLOG POST: Complying with FINRA Rule 3220: Automate Aggregation of Gifts, Gratuities, and Contributions
A technology solution that automates the tracking of gifts and gratuities given or received at the individual or firm level, such as RegEd’s Gifts, Gratuities and Contributions solution, can be particularly efficient and effective for reducing the risk of non-compliance for firms.
GIFTS, GRATUITIES & CONTRIBUTIONS:
RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
OUTSIDE BUSINESS ACTIVITIES
Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.
PERSONAL SECURITIES ACCOUNT MANAGEMENT
RegEd’s Personal Securities Account Management automates the management of personal trading activities, so firms can have confidence they are embedding best-practices in their compliance program.
POLICIES & PROCEDURES MANAGEMENT
RegEd’s Policies & Procedures Management solution enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures.
BRANCH AUDIT MANAGEMENT
Plan, schedule, conduct, resolve and report on branch audits. The solution significantly reduces manual processes, while enabling firms to effectively identify and remediate areas of potential risk before they result in non-compliance risk.
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.