BRANCH AUDIT MANAGEMENT: CAPABILITIES
Enterprise software solution to efficiently plan, schedule, conduct, resolve and report on branch inspections in accordance with FINRA Rule 3110 and other regulatory guidelines.
REGED BRANCH AUDIT MANAGEMENT: BY THE NUMBERS
BRANCH AUDIT MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for branch inspections, from industry and RegEd subject matter experts.
WEBINAR: Branch Audit Enforcement Trends, Regulatory Developments and Best Practices
This webinar featured an expert panel that provided an overview of relevant regulatory developments, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline branch exams.
WHITE PAPER: Broker-Dealer and Bank Branch Audit Management: Ensuring Risk Mitigation
This white paper details why more firms are turning to specialized technology to efficiently plan, schedule, conduct, resolve and report on branch audits.
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.
BLOG: Leverage Pre-Audit Questionnaires to Improve Efficiency and Reduce Risk
Pre-Audit Questionnaire (PAQ) functionality has enabled users to ensure that data collected via questionnaires is automatically populated, reducing the need for manual transfer and significantly improving audit cycle time.
“RegEd has enabled us to be more nimble in our branch exam program, so we can be proactive and hone in on the areas that we deem to be of greater risk, or are of a particular focus for regulators.”
Director of Supervision and Compliance | Tier 1 Broker-Dealer
BRANCH AUDIT MANAGEMENT: RELATED SOLUTIONS
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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.