Compliance Questionnaires

RegEd's Compliance Questionnaires provides an efficient, purely electronic system for managing collection, analysis and reporting of the critical representative compliance information required by FINRA. Compliance Questionnaires post-processing functionality gives your firm the power to analyze each stage of the process and review with detailed reporting and color-coding of critical questions.

Compliance Questionnaires can be fully customized to your unique requirements. Tailor the web-based user interface, the compliance information you collect, and the detailed reporting functionality to obtain seamless electronic access to required regulatory data from your representatives.

Key FeaturesBenefits
  • Multi-stage response analysis
  • Integrated email noticing technology
  • Links to relevant firm-specific documents and compliance manuals
  • Efficient electronic system
  • Customizable system fits your process
  • Keeps management in the loop by flagging answers that require their attention

With Compliance 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 Compliance Questionnaires to effectively manage:

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

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