INTELLIGENT AUTOMATION OF COMPLIANCE REVIEW
Enterprise software powered by advanced technology to automate and streamline marketing compliance review and speed time to market.
ADVERTISING REVIEW: REGED MARKET LEADERSHIP
ADVERTISING REVIEW: RELATED RESOURCES
Content covering the latest news and best practices for advertising compliance review, from industry and RegEd subject matter experts.
RESOURCE CENTER: SEC’s Modernized Marketing Rule
RegEd has compiled resources on the new marketing rule, its impact on the industry, and how firms can prepare so that investment advisers can reduce non-compliance risk while growing their business.
CELENT REPORT: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
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.
ADVERTISING REVIEW: ROI BY THE NUMBERS
“With approximately 10,000 submissions to review annually, and new submitters added daily, CUNA Mutual Group required a single integrated solution to streamline the end-to-end process, memorialize the review and approval cycle and enable readiness for regulatory exams. We needed a solution that enabled efficient exam preparation and allowed us to be responsive to information requests from examiners.”
Manager, Ethics and Compliance
ADVERTISING REVIEW: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
CONFLICTS OF INTEREST
A suite of fully integrated, fit-for-purpose modules to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employee population and third parties.
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.
Complaint Management enables firms to systematically capture and track complaints that are reported directly to the firm or to regulators, streamlining the end-to-end process of complaint resolution throughout the organization.
PARTNERS & INTEGRATIONS
RegEd seamlessly integrates with your marketing and compliance technology ecosystem through highly customizable API capabilities, these are examples.
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.