• SOLUTION SUITE

    COMPLIANCE MANAGEMENT

COMPLIANCE MANAGEMENT SOLUTION SUITE

Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.

The leading choice of compliance, operations and technology stakeholders across hundreds of financial services firms, RegEd’s applications deliver proven, robust, compliance-optimized capabilities that enable extraordinary efficiency and strong compliance oversight, dramatically reducing the risk of non-compliance.

COMPLIANCE MANAGEMENT: RELATED RESOURCES

Content covering the latest news and best practices for compliance management, from industry and RegEd subject matter experts.

WHITEPAPER: The State of Branch Office Inspections

To gain insight into the current state of branch examination programs among mid-sized and large U.S. broker-dealers, RegEd partnered with Essential Edge, a trusted compliance consulting and outsourcing firm, to undertake a comprehensive survey.

CELENT WEBINAR: Marketing Compliance in the Financial Services Industry

This webinar features Neil Katkov, PhD, Director of Risk at Celent, and RegEd Product Management leaders who provide 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 Surpasses 6 Million Submissions, Setting New Industry Milestone

RegEd recently announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 6 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.

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