Compliance Questionnaires™

RegEd Compliance Questionnaires provide an efficient, purely electronic system for managing collection, analysis and reporting of the critical representative compliance information required by the FINRA. Questionnaires' post-processing functionality gives a firm the power to conduct multi-stage response analysis and review with detailed reporting, color-coding of critical questions and integrated email noticing technology.

RegEd Questionnaires is fully customizable to your unique requirements. Tailor the web-based user-interface, the compliance information you collect, and the detailed reporting functionality to obtain seamless, paperless access to required regulatory data from your representatives.

With Questionnaires, you can automate the entire compliance workflow. The system will automatically flag answers that require management attention, trigger additional questions to gather supplementary information, initiate follow-up tasks, and provide links to firm-specific documents and compliance manuals, all according to your specifications.

Use RegEd Compliance Questionnaires to effectively manage:

  • Annual Compliance Questionnaires
  • Outside Business Activities
  • Pre-Audit
  • California Annuity Certification
  • Financial Advisor Audit
  • Hedge Funds
  • Personal Brokerage Accounts
  • Gift & Entertainment Tracking
  • Custom Client Surveys
  • Individual Needs Analysis
  • New Hire
  • Outside Trading Accounts
  • Periodic Attestations

For more information on Compliance Questionnaires, click here.