COMPLAINT MANAGEMENT: CAPABILITIES
Enterprise software solution to systematically capture and track complaints and streamline the end-to-end process of resolution and remediation.
Complaint Management installs a best practice methodology for complaint resolution that mitigates reputational and non-compliance risks.
COMPLAINT MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for complaint management, from industry and RegEd subject matter experts.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
VIDEO: Achieving a Unified Compliance and Credentialing Technology Vision
This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.
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.
COMPLAINT MANAGEMENT: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.
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.
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.
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.