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Our solution and subject matter experts will provide an overview of how RegEd’s enterprise solutions enable our clients to improve efficiency, effectiveness and transparency across the enterprise.

Industry Challenge

FINRA continues to increase its focus on firm culture, including supervised persons’ conduct and sales practices, to ensure they comply with applicable regulations and protect investors. Among the greatest challenges faced by broker-dealers is the ability to identify potential risks among the firm’s registered population before they cause reputational or financial harm. Given that many compliance obligations are applicable across the organization, firms must also ensure that non-registered employees fulfill their compliance responsibilities. To avoid unnecessary risks, firms must have a comprehensive view of compliance obligations at the firm level.

RegEd Solution

RegEd SCORE® Risk Control Center delivers a clear, comprehensive view into the status of compliance requirements at the company level or specific to the employee. SCORE provides configurable compliance dashboards that enable stakeholders to identify trends and exceptions before the firm is exposed to potential risk. Using SCORE, compliance and audit professionals can make timely and informed decisions related to employee activities and supervision.

Distinguishing Capabilities

  • Create custom dashboards of key metrics and configure targeted views of specific compliance areas across your organization, branch or region.
  • Includes widgets driven by FINRA Web EFT™ and RegEd compliance program data, including: Disclosures, Customer Concerns/Complaints, Advertising Review, Compliance Questionnaire deficiencies, Outside Business Activities trends and Branch Office Exam deficiencies.
  • Analyze employee behavior and sales practice trends over time, by individual, branch or region, to isolate negative trends that warrant attention and to identify best practices related to hiring and supervision.
  • Employ RegEd’s embedded hierarchy to create detailed views at the firm, branch or individual level, which can be saved in the RegEd SCORE Widget Library for later re-use.

Key Benefits

Install Strong Conduct and Compliance Oversight to Reduce Non-Compliance and Reputational Risk

  • Establish risk thresholds to pinpoint compliance deficiencies, identify exceptions and spot early, negative trends before they create consequences.
  • Increased rate of adherence among the firm’s registered and non-registered population reduces non-compliance and reputational risk.
Demonstrate a Strong Conduct Compliance Program to Regulators
  • Technology-enabled, systematized conduct oversight demonstrates that the firm prioritizes upholding a culture of compliance.
  • Comprehensive reporting capabilities and audit trails enable firms to readily provide evidence of compliance and risk mitigation to regulators and internal auditors.
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