RegEd Announces Innovations in Branch Audit-Management Capabilities as Part of Enterprise Compliance-Platform

RegEd Announces Innovations in Branch Audit Management Capabilities as Part of Enterprise Compliance Platform

Increased automation, improved data management and simplified user experience streamline the end-to-end process of planning, conducting and resolving branch audits

RegEd, the leading provider of Compliance Management, Licensing and Registration, and Education solutions to the financial services industry, has announced the rollout of an upgraded version of its industry-leading Enterprise Branch Audit Management. The release is the result of significant investment and ongoing technology innovation to enable greater levels of automation and improved data accuracy in firms’ branch audit and inspections programs.

Branch Audit Management 4.0 incorporates more than three years of market input gained through continuous collaboration with more than 20 leading firms. Through this process RegEd identified growing needs among firms to consolidate multiple systems used to manage branch audits, to more efficiently and accurately manage audit data, and to effectively identify, mitigate and resolve audit deficiencies in a timely manner. In response RegEd has delivered the capability to view and manage audits from a single comprehensive system, introduced audit data pre-population capabilities to streamline data management, and enhanced its audit response system to enable firms to more efficiently close the loop on audits and deficiencies.

Increased automation and improved efficiency throughout the audit lifecycle have resulted in significantly streamlined audit management for RegEd’s clients. Adam Schaub, AVP & Chief Compliance Officer at 1st Global stated, “Our audit close-out letter goal is 30 days post inspection. After implementing RegEd’s Branch Audit Management solution, the first close-out letter was sent on the first day, and subsequent close-out letters also showed marked improvement in the inspection cycle.”

Branch Audit Management 4.0 also offers expanded offline audit capability, automatic identification of repeat deficiencies, simultaneous auditor access, an updated task dashboard, multi-level workflows and more. In addition to enabling firms to maintain compliance with regulations such as FINRA 3110 and 3120, Branch Audit Management greatly reduces manual tasks for individual auditors. For example, automated pre-population of data from other sources, such as client databases and questionnaires, materially reduces time spent manually referencing other systems, increasing audit capacity per auditor and improving data accuracy.

Enterprise Branch Audit Management is part of the RegEd enterprise compliance platform, which enables data sharing across modules and a clear view of the status of compliance obligations, including branch audits, at the company or individual level. Enterprise Branch Audit Management is now available for current and prospective users.  To request a demonstration or further information, visit

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit

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