COMPLAINT MANAGEMENT: CAPABILITIES

Enterprise software solution to systematically capture and track complaints and streamline the end-to-end process of resolution and remediation.

Tracking

Systematically capture and track complaints that are reported directly to the firm or to regulators.

Reporting

Report on the status of pending complaint resolutions, including deadline notifications, at any level of the firm’s hierarchy.

Central Repository

Single repository for complaints, disclosures, supporting documentation and communications, enabling responsiveness to regulator requests.

Resolution and Remediation

Track an event or complaint from discovery date to resolution to ensure that the loop is closed. Workflow and task management capabilities ensure timely complaint responses and remediation.

Communication

Configurable communication templates facilitate consistent and compliant communications with customers.

FINRA Compliance

Electronically report complaints and disclosures to FINRA, eliminating the need for redundant data entry. In accordance with FINRA Rule 4530(d), statistical and summary information can be exported via .XML and uploaded to meet quarterly filing requirements.

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.

FEATURED ARTICLE: Best Practices for Annual Compliance Questionnaires

This articles discusses how firms can leverage their Annual Compliance Questionnaire (“ACQ”) in many ways, beyond just protecting against regulatory risk.

CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest

This report provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.

COMPLAINT MANAGEMENT: RELATED SOLUTIONS

Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.

ADVERTISING REVIEW

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.

POLICIES & PROCEDURES

RegEd’s Policies & Procedures Management solution enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures.

CONTACT US

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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