Centralized Control of Conflicts Management Reduces the Risk of Non-Compliance
Gifts, Gratuities And Contributions
Automate the monitoring and management of gifts, gratuities and non-cash compensation.
Outside Business Activities
Enables centralized management of OBA disclosures, attestations and amendments.
Personal Securities Account Management
Capture, monitor and report on employee personal trading activities.
Complex hierarchy management
Full tracking capabilities enable compliance, managers and other stakeholders to holistically monitor and track the entire process, and identify violations.
Powerful attestation management
Ensure proactive management of the fulfilment of current activities through periodic attestation requirements.
Configurable compliance surveys
Manage the collection, analysis and reporting of critical compliance information and analyze each stage of the process and review with detailed reporting.
Robust enterprise reporting
Enterprise capabilities provide reporting, both on-demand and using pre-defined report formats. Readily produce documentation to satisfy requests from internal stakeholders and regulator examiners.
Featured Webinar: Making Your Conflicts of Interest Compliance Program DefensibleConflicts of interest has evolved into a complex compliance management issue that requires a consistent and methodical process for the submission, approval and tracking of requests and their fulfillment related to gifts and entertainment, political contributions, personal trading, outside business activities, and other potential conflicts of interest. This session provides an overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program.
RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference
Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.
RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference
Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration
RegEd Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform
RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform.
Webinar: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers
An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.
Webinar: Current Regulatory Issues Concerning Outside Business Activities
FINRA’s supervision of Outside Business Activities (OBAs) discussion includes OBA requirements, exam trends, and best practices.