INTELLIGENT AUTOMATION OF COMPLIANCE REVIEW

Enterprise software powered by advanced technology to automate and streamline marketing compliance review and speed time to market.

Advanced Workflow Management

Rules-driven, configurable workflows enable routing of submissions by defined criteria including submitter and submission attributes. Workflow configuration is unlimited and supports even the most complex review and approval processes.

Compliance SmartView

Provides reviewers with critical, on-screen context to aid review decisions including the financial professional’s licensure, registration, employment and outside business activities (direct from FINRA), as well as firm-defined fields such as financial designations, DBAs, social media profiles, and more.

Concurrent Annotations

Facilitates real-time collaboration among reviewers enabling multiple reviewers to create markup and track history in a single step. All reviewers’ annotations are clearly identified on one screen before routing the submission to the next reviewer in the process.

Lexicon and Disclosure Detection

Flag problematic keywords and phrases using firm-customized business rules, and identify disclosures that are required based on the content of the item. Disclosure Library provides a common set of disclosures, so that all stakeholders can leverage the current and correct wording in materials.

Smart Forms

Appropriate submission form displays based on the individual’s role within the firm’s hierarchy (e.g., corporate vs. agent or rep submitter). Forms dynamically build based on selections for item type, item format, and more.

Smart Link

Provides links to previously approved submissions that are similar to the item being reviewed.  This speeds the review time for items such as recurring newsletters, enabling the reviewer to focus their review on content that represents a delta from the prior approval.

Smart Work Queue Management

Automatically route submissions for review on a round-robin basis or by defined criteria including role/submitter and submission attributes. Auto-reroute submissions based on out of office status. Prioritize review tasks based on firm-defined business rules.

Version Control

Robust version control capabilities avoid overlapping and lost edits. Full transparency and history from the initial to the final version, providing clarity of status, visibility to all edits and annotations, and a full audit trail for internal and regulatory purposes.

ADDITIONAL CAPABILITIES

Advanced Indexing and Searching

API Integration with CRM and Marketing Systems

Approved Materials Library

Complex Hierarchy Management

FINRA AREF Integration

Streamlined UX

WORM Archiving / SEC 17(a)-4 Compliance

ADVERTISING REVIEW: REGED MARKET LEADERSHIP

2 of 3

Largest banks in the US trust RegEd

4,000,000+

Items submitted for compliance review

7 of 10

Largest broker-dealers in the US

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.

WEBINAR: Technology Innovations to Streamline Compliance

This webinar discusses concepts and practical applications of emerging technologies, their potential impacts to compliance and provide best practice considerations when approaching these technologies.

NEWS: RegEd’s Advertising Compliance Solution Tops 4 Million Submissions

RegEd today announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 4 million submissions to date.

ADVERTISING REVIEW: ROI BY THE NUMBERS

50%

Reduction in compliance review time.

70%

Reduction in human intervention in submission reviews.

80%

Increase in first-touch approvals and eliminated NIGOs.

100%

Compliance with SEC 17(a)-4.

“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

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.

COMPLIANCE QUESTIONNAIRES

RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires.

PARTNERS & INTEGRATIONS

RegEd seamlessly integrates with your marketing and compliance technology ecosystem through highly customizable API capabilities, these are examples.

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.

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