REGULATORY EXAM MANAGEMENT: CAPABILITIES
Regulatory Examination Management is 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.
Task Management
Assign, manage and monitor all tasks related to exams, including data requests, examiner communication, remediation, and more.
Compliance Portal
Facilitate communication with regulators and among the firm’s extended enterprise including producers and others not directly employed by the firm.
Examiner Profile
Capture individual examiner preferences, notes and other data related to examiners.
Case Management
Provide a closed-loop process for managing the implementation of corrective actions with a demonstrable audit trail.
Document Management
Include version control and history, compare function, and more.
Full Audit Trail
Centralize and memorialize all communications and transfers of information, task completion and case remediation.
RegEd’s Regulatory Exam Management solution installs best practices and drives the highest levels of efficiency across all exam management processes, enabling firms to significantly reduce the time and resource commitment required during a regulatory exam.
REGULATORY EXAM MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for managing regulatory examinations, from industry and RegEd subject matter experts.
ARTICLE: Lessons from FINRA’s 2023 Examination and Risk Monitoring Program Report
This article discusses four areas that FINRA includes throughout its guidance and best practices for compliance across all sections of the Report – Training, Communications and Disclosures, Written Supervisory Procedures, and Surveillance and Audits.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
WEBINAR: Effectively Managing Regulatory Change in an Evolving Regulatory Landscape
In this webinar, RegEd Regulatory Affairs directors frame the current landscape, and a RegEd client relates how their firm transformed their regulatory change management function to meet the challenges of a demanding regulatory environment.
VIDEO: Achieving a Unified Compliance and Credentialing Technology Vision
This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.
REGULATORY EXAM MANAGEMENT: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
COMPLAINT MANAGEMENT
Complaint Management enables firms to systematically capture and track complaints that are reported directly to the firm or to regulators, streamlining the end-to-end process of complaint resolution throughout the organization.
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.
REGULATORY CHANGE MANAGEMENT
A fully integrated solution that streamlines the end-to-end process of managing regulatory change throughout the organization.
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.
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.