Centralized Control of Conflicts Management Reduces the Risk of Non-Compliance

By automating the end-to-end management of request processes, compliance monitoring and exception management associated with the firm’s conflict of interest policies, firms can have confidence they are embedding best-practices in their compliance program. All modules in the solution suite leverage RegEd’s powerful platform capabilities which enable comprehensive monitoring, workflow-directed task management, real-time alerts to exceptions and sophisticated hierarchy management.

Solutions

Gifts, Gratuities And Contributions

Automate the monitoring and management of gifts, gratuities and non-cash compensation.

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Outside Business Activities

Enables centralized management of OBA disclosures, attestations and amendments.

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Personal Securities Account Management

Capture, monitor and report on employee personal trading activities.

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Conflicts of Interest SolutionsKey Capabilities and Benefits

Firms that have implemented RegEd’s Conflicts of Interest Management Solution Suite benefit from enhanced supervision and reduced non-compliance risk.

Complex hierarchy management

Route submissions via a pre-approval workflow leveraging the firm’s supervisory and organizational hierarchy.

Comprehensive monitoring

Full tracking capabilities enable compliance, managers and other stakeholders to holistically monitor and track the entire process, and identify violations.

Powerful attestation management

Ensure proactive management of the fulfilment  of current activities through periodic attestation requirements.

Configurable compliance surveys

Manage the collection, analysis and reporting of critical compliance information and analyze each stage of the process and review with detailed reporting.

Robust enterprise reporting

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.

Automated
alerts

Email notifications alert and remind task holders to take the next appropriate action, and notifications to supervisors, compliance and other stakeholders flag violations that exceed established thresholds.

 

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RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference

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Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

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Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration

RegEd Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

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RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform.

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