COMPLIANCE QUESTIONNAIRES: CAPABILITIES

RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires integral to maintaining a strong compliance program.

FINRA Integration

FINRA WebEFT prepopulates questionnaires with representatives’ data to minimize manual data entry and enable reps to easily view and confirm that data on file is accurate.

Sophisticated Workflow

Workflows can be configured to mirror the firm’s hierarchy and operational processes including complex, multi-stage workflows for review and sign-off.

Identify Risk

Flag key questions, or an entire questionnaire, to isolate critical areas for priority compliance review during the annual attestation process.

Improve Transparency

Provides comprehensive views of status and automatic alerts of deficiencies so that they can be addressed on a timely basis and the firm can ensure the compliance loop is properly closed.

RegEd’s Compliance Questionnaires enables stakeholders to identify and analyze deficiencies and outliers and report on the results. Using the system’s risk-based flagging tool, key stakeholders can easily identify, prioritize, address and report on critical compliance deficiencies, using a weighted ranking.

COMPLIANCE QUESTIONNAIRES: RELATED RESOURCES

Content covering the latest news and best practices for managing compliance questionnaires and other critical compliance processes, from industry and RegEd subject matter experts.

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.

BLOG POST: Leverage Pre-Audit Questionnaires to Improve Efficiency and Reduce Risk of Non-Compliance

This blog post reviews RegEd’s Pre-audit questionnaire (PAQ) functionality and how it has enabled compliance and audit professionals to reduce the need for manual transfer and significantly improve audit cycle time.

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.

COMPLIANCE QUESTIONNAIRES: 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.

COMPLAINT MANAGEMENT

Complaint Management enables firms to systematically capture and track complaints that are reported directly to the firm or to regulators, streamlining the end-to-end process of complaint resolution throughout the organization.

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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