PERSONAL SECURITIES ACCOUNT MANAGEMENT: CAPABILITIES
Personal Securities Account Management leverages RegEd’s powerful platform capabilities to automate and streamline the time consuming supervision and reporting of personal trading accounts.
Attestation Tracking
Intuitive, online completion of periodic account, trade and holding attestations.
Advanced Reporting
Reports can be generated on-demand or by using pre-defined report formats.
Audit Trail
Captures requests, approvals, exceptions, audit trails and other pertinent information.
Comprehensive Tracking
Easily track pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee securities holdings.
Direct Integration to
Brokerage Feeds
Integrates electronic feeds from top brokerage firms, automated trade entry from confirmations and statements.
Fully
Customizable
Trade rules, submission forms, approval routing, email notifications and 407 letters can be tailored to the firm’s unique business rules and work processes.
Robust
Surveillance
Verify trading activity and issue alerts to enable identification and resolution of exceptions. Monitor for activities such as front-running and restricted stock trading.
Best Practice
Compliance Content
Leverage turnkey content developed by RegEd subject matter experts as the basis for your own questionnaire and brochure output. Content maps to regulatory requirements and established industry best practices. Learn more.
Direct Feeds for Surveillance (Powered by FIS)
Personal Securities Account Management integrates electronic feeds from top brokerage firms including:
-
NORTH AMERICA
- Alliance Bernstein
- American Portfolios
- Ameriprise
- AON Hewitt
- RW Baird
- BMO Harris Financial Advisors
- BNY Mellon*
- Charles Schwab
- Chase Wealth Management
- Citibank Private Bank
- Commonwealth Financial Network
- Credit Suisse
- Davenport & Company
- Detalus
- Edward Jones
- Empower Retirement
- E-Trade
- Fidelity
- First Clearing
- First Republic Bank
- Gilder Gagnon & Howe
- Goldman Sachs
- Hilltop Securities
- HSBC
- Interactive Brokers
- Janney Montgomery Scott
- JP Morgan Private Bank
- JP Morgan Securities
- Lincoln Investments
- McCollum Christoferson Group
- Mesirow Financial
- Merrill Edge
- Merrill Lynch
- Metlife
- Morgan Stanley Wealth Management
- Northwestern Mutual
- OptionsXpress
- Parisi Gray Wealth Mangement
- Park Avenue Securities
- Pershing
- Personal Capital Advisors
- Pro Equities
- Principal Securities
- Raymond James
- RBC Canada*
- RBC Wealth Management
- Royal Alliance
- Saxo Capital Markets
- Scott & Stringfellow
- Scottrade
- Snowden Lane
- Stifel Nicolaus
- T.Rowe Price
- TD Ameritrade
- Treasury Partners
- Trust Company of America
- UBS
- US Trust / BOA
- USAA
- Vanguard
- Voya
- W.H. Mell
- Wells Fargo
- Wunderlich Securities
* – in progress
-
EMEA
- Barclays Stockbrokers
- Charles Stanley
- Equiniti
- Hargreaves Lansdown
- IG Index
- Interactive Brokers
- Julius Baer
- Saxo Capital Markets
- TD Direct Investing
- UBS
- WH Ireland
APAC
- Citibank Hong Kong
- Commonwealth Securities*
- Crestone
- DBS Vickers*
- IG Index
- Interactive Brokers HK-SG-AU
- JihSun Securities*
- Kotak
- MayBank
- Phillip Securities
- OCBC Securities
- Saxo Capital Markets HK-SG-AU
- Sharekhan
- Standard Chartered*
- UOB Kay Hian ML-SG-AU
- Zerodha
* – in progress
PERSONAL SECURITIES ACCOUNT MANAGEMENT:
RELATED RESOURCES
Content covering the latest news and best practices for personal securities account management and conflicts of interest, from industry and RegEd subject matter experts.
ARTICLE: SEC-Compliant Electronic Storage and Designated Third-Party Services
This article discusses how firms are required to maintain electronic records in a format that complies with SEC rules and how they can leverage RegEd’s electronic recordkeeping capabilities to comply with these requirements.
CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
VIDEO: Enterprise Gifts, Gratuities and Contributions Management
This video provides an overview of RegEd’s Enterprise Gifts, Gratuities and Contributions Management, the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
WEBINAR: Keeping a Grip on Employee Conduct and Conflicts of Interest
This webinar features an expert panel that offers insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
Personal Securities Account Management provides robust capabilities to effectively capture, monitor and report on employee personal trading activities. Capabilities include the ability to track pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee securities holdings.
PERSONAL SECURITIES ACCOUNT MANAGEMENT:
RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
GIFTS, GRATUITIES & CONTRIBUTIONS
RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
OUTSIDE BUSINESS ACTIVITIES
Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.
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.
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.
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.