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.
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.
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.
COMPLIANCE QUESTIONNAIRES: 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.
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.
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.