New enhancements empower firms to streamline branch inspections, improve oversight, and ensure compliance—whether they participate in the pilot program or not. RegEd, the leading provider of RegTech enterprise solutions, has announced significant enhancements to its Audit Management solution to support the requirements of FINRA’s Remote Inspections Pilot Program, which began July 1, 2024. These enhancements enable firms to efficiently plan, track, and manage inspections—whether they opt into the pilot program or continue with traditional onsite inspections—while ensuring compliance with FINRA Rule 3110.18. FINRA’s three-year Remote Inspections Pilot Program allows eligible firms to conduct branch office inspections remotely instead of through […]
Continue readingMore TagMonth: January 2025
RegEd’s Advertising Compliance Solution Surpasses 7 Million Submissions, Marking Another Industry Milestone
RegEd’s AI-Powered Enterprise Advertising Review continues to set the standard for marketing and advertising compliance in financial services through market-leading innovation and widespread industry adoption. RegEd, the leading provider of compliance solutions for financial services firms, has reached a new milestone as its Enterprise Advertising Review Solution surpasses 7 million submissions, representing more than 13.1 million review decisions and more than 16 million submitted review items. This achievement reinforces RegEd’s unmatched capability to streamline advertising compliance processes at scale, driven by advanced technology including artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review, including the successful launch of […]
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