Identify highly effective and cost-efficient strategies to manage compliance for banks, credit unions and other financial institutions.


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

Branch Audit Management

Enterprise software solution to efficiently plan, schedule, conduct, resolve and report on branch inspections in accordance with FINRA Rule 3110 and other regulatory guidelines. Learn more.

Gifts, Gratuities and

Manage the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions. Learn more.

Outside Business

Enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication to speed the decision process. Learn more.

Personal Securities Account Management

Automate and streamline the time consuming supervision and reporting of personal trading accounts. Learn more.

Banks are subject to broad regulation that is continuously evolving, and the regulatory environment is increasingly rigorous and unforgiving. Banks must gain effective oversight to ensure that compliance obligations are fulfilled, compliance gaps are readily identified and remediated, and strong audit trails that demonstrate compliance are captured and memorialized.


Thought leadership from industry and RegEd subject matter experts.

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.

WHITE PAPER: Broker-Dealer and Bank Branch Audit Management: Ensuring Risk Mitigation

More firms are turning to specialized workflow management technology to enable themselves to efficiently plan, schedule, conduct, resolve and report on branch audits.

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.

WEBINAR: Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices

Overview of the latest regulatory developments in this area, including FINRA’s extension of the remote option and how it is expected to evolve going forward. Panelists also review practical challenges and opportunities facing audit teams.


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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