Scalable, Proven Technology Powers the Firm’s Compliance Program
Advertising Review
Streamline the end-to-end processes for advertising submission, review, collaboration and approval.
Audit Management
Fully plan, schedule, conduct, resolve and report on internal and branch audits.
Complaint Management
Automate the capture, tracking and reporting of complaints.
Compliance Questionnaires
Initiate, distribute and track annual compliance questionnaires required by FINRA.
Incident Management
Oversee the lifecycle of IT, cybersecurity, and ethics and compliance incidents.
Policies & Procedures Management
Manage the lifecycle of policies and procedures throughout the organization.
Regulatory Change Management
Enables firms to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.
Regulatory Exam Management
Manage tasks undertaken during the course of a regulatory examination.
Advanced document management
Powerful attestation management
Ensure proactive management of the fulfilment of obligations through periodic attestation requirements.
Robust reporting capabilities
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.
Enterprise workflow and task management
Robust work flow and task management, automatic notifications, exception management, compliance surveys and attestation management enable strong oversight so compliance obligations are fulfilled on a timely basis.
Comprehensive audit trail
Built-in audit trails enable ready preparedness for regulatory exams and position firms to better withstand the scrutiny of regulators.
Regulatory
Intelligence
Delivers actionable regulatory intelligence and enables clients to receive precise information and tasks to streamline the process of compliance.
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Case Study: 1st Global Enterprise Compliance Platform
1st Global’s compliance program was managed using a combination of homegrown tools, shareware and spreadsheets. Employee and compliance data was housed across multiple internal systems, which lacked integration and required considerable internal staff for ongoing support and maintenance.
Download this case study to learn how 1st Global partnered with RegEd to drive a company-wide initiative focused on strengthening their compliance program through the introduction of advanced compliance and operations technology.
Related Updates
Efficiencies with Advertising Review’s Two-Way FINRA Integration
Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can now take advantage of full automation with our two-way integration.
Related Resources
Webinar: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Webinar: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Webinar: State Model Acts, What You Need to Know
Webinar: State Model Acts, What You Need to Know
An examination of state model acts and the regulatory landscape as it relates to topics such as senior and vulnerable adult protections, cyber risk management, standard of care, FinTech and InsurTech.
Video: RegEd Solutions for Banks
Video: RegEd Solutions for Banks
Learn how RegEd helps banks identify highly effective and cost-efficient strategies to manage compliance across the enterprise.