Author: Eric Clements

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that its Compliance Questionnaires solution has achieved the milestone of processing 3 million submissions, enabling its broker-dealer clients to efficiently manage their compliance programs.  Today, Compliance Questionnaires is used by more than 400 enterprise clients, including 80% of the top 25 broker-dealers. RegEd’s Compliance Questionnaires is an enterprise application and part of RegEd’s Compliance and Audit Management platform.  As a core module addressing FINRA compliance regulation, Compliance Questionnaires leverages the platform’s robust workflow engine, enabling firms to design complex workflows that […]

RegEd, a leading provider of compliance technology to the financial services industry, has published an Analyst Report from GRC 20/20 Research, an independent analyst of governance, risk management, and compliance solutions (GRC). The report, authored by Michael Rasmussen, President of GRC 20/20, offers an objective evaluation of the CODE enterprise platform based on an extensive technical capabilities assessment and in-depth interviews with RegEd clients. The report describes CODE as delivering "an integrated and harmonized architecture to manage compliance in the context of today’s demanding requirements," and commends RegEd’s subject matter expertise as indicative of an “intimate understanding of regulatory change, […]