A SINGLE SOLUTION FOR COMPREHENSIVE OVERSIGHT
All-in-one enterprise compliance management solutions trusted by the largest financial services organizations, accessible for SMBs and growing firms.
Personal Trade Monitoring
Leverage powerful automated trade surveillance capabilities, integrate electronic feeds from top brokerage firms and automate trade entry from confirmations and statements.
Personal Securities Accounts
Automate and streamline the time-consuming supervision and reporting of personal securities accounts.
Gifts, Gratuities, and Contributions
Manage the submissions, approvals and tracking of gifts, business entertainment, noncash compensation and political contributions.
Outside Business Activities
Enable centralized management of OBA disclosures, attestations and amendments, as well as FINRA reporting, to reduce review time and streamline communication.
Compliance Questionnaires
Create, distribute and track annual compliance questionnaires, and other critical questionnaires integral to maintaining a strong compliance program.
Client Trade Supervision & Account Monitoring
Efficiently manage client trade supervision and account monitoring across brokerage, advisory, trust and direct business.
Securities Registration
Automate the securities registration process for advisors and representatives, ensuring compliance and streamlining operations.
Advertising Review
Advanced capabilities leverage AI technology to automate and streamline marketing compliance review and speed time to market while reducing non-compliance risk.
PLATFORM CAPABILITIES
Unified Data Repository
Common User Interface
API Integration with CRM and Marketing Systems
Self Service Tools
Complex Hierarchy Management
FINRA Integration
WORM Archiving / SEC 17(a)-4 Compliance
REGED EMPLOYEE COMPLIANCE DASHBOARD
Deliver a clear, comprehensive view into the status of compliance requirements at the company level or specific to the employee. This facilitates a full understanding of pending and upcoming compliance obligations, enabling users to prioritize fulfillment in alignment with critical deadlines.
CHOOSE THE SOLUTION THAT FITS YOUR BUSINESS
COMPLIANCE CONTROL CENTER: RELATED RESOURCES
Content covering the latest news and best practices for compliance management, from industry and RegEd subject matter experts.
WEBINAR: Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
This webinar features an expert panel who provides insight into the details of the SEC’s newly adopted modernized marketing rule, how it will impact the industry, and what firms can do now to prepare.
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.
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.
NEWS: RegEd’s Advertising Compliance Solution Tops 4 Million Submissions
RegEd today announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 4 million submissions to date.
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.