Scalable, Proven Technology Powers the Firm’s Compliance Program

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. Applications present in a common interface, optimizing usability across the application suite. Compliance data is reused across multiple applications and presented in consolidated dashboards that enable efficient execution of work processes and management by exception.

Solutions

Advertising Review

Streamline the end-to-end processes for advertising submission, review, collaboration and approval.

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Audit Management

Fully plan, schedule, conduct, resolve and report on internal and branch audits.

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Complaint Management

Automate the capture, tracking and reporting of complaints.

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Compliance Questionnaires

Initiate, distribute and track annual compliance questionnaires required by FINRA.

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Incident Management

Oversee the lifecycle of IT, cybersecurity, and ethics and compliance incidents.

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Policies & Procedures Management

Manage the lifecycle of policies and procedures throughout the organization.

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Regulatory Change Management

Enables firms to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

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Regulatory Exam Management

Manage tasks undertaken during the course of a regulatory examination.

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Compliance Management SolutionsKey Capabilities and Benefits

Firms that have implemented RegEd Compliance Management Solutions benefit from lower operational costs, reduced non-compliance risk and increased producer / rep satisfaction.
Capabilities

 

Advanced document management

Centralized document repository to access documents and previous versions. Live editing and annotation capabilities allow for sophisticated document modification.

Powerful attestation management

Ensure proactive management of the fulfilment of obligations through periodic attestation requirements.

Robust reporting capabilities

Enterprise capabilities provide reporting, both on-demand and using pre-defined report formats. Readily produce documentation to satisfy requests from internal stakeholders and regulator examiners.

Enterprise workflow and task management

Robust work flow and task management, automatic notifications, exception management, compliance surveys and attestation management enable strong oversight so compliance obligations are fulfilled on a timely basis.

Comprehensive audit trail

Built-in audit trails enable ready preparedness for regulatory exams and position firms to better withstand the scrutiny of regulators.

Regulatory
Intelligence

Delivers actionable regulatory intelligence and enables clients to receive precise information and tasks to streamline the process of compliance.

Related Updates

Read about the latest trends, hot topics, and developments affecting compliance management.
Efficiencies with Advertising Review's Two-Way FINRA Integration

Efficiencies with Advertising Review’s Two-Way FINRA Integration

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Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can now take advantage of full automation with our two-way integration.

Related Resources

Access thought leadership content to learn more about compliance management best practices, RegEd solutions and more.

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