Powerful Credentialing Solutions Enable Unparalleled Efficiencies
Xchange Enterprise Overview
Manage insurance and securities credentialing in a unified solution.
Alerts 2.0
The industry’s only fully automated credentialing data management solution.
CE Central
Simplify producer compliance with state CE requirements.
FINRA Registration Profiles
Manage registration information for each rep to ensure regulatory requirements are met.
Outsourcing Services
Gain access to the most experienced team in the industry.
Producer Contracting
Fully automate and streamline the producer contracting process.
Registered Rep Onboarding
Fully automate and streamline the rep onboarding process.
State Requirements
The industry’s most complete and current producer licensing resource.
Complex hierarchy management
Automated data synchronization
Automated data synchronization of producer / rep data with FINRA and the NIPR ensures accurate data populates transactions, reducing non-compliance risk.
Business process automation
Business process automation drives efficiency in transaction preparation, transaction processing and data maintenance, enabling firms to realize a material return on investment.
Comprehensive 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.
-
Webinar: Documenting Effective Onboarding Due Diligence
Efficient onboarding of new registered representatives is critical for broker-dealers. Yet many firms continue to rely on paper-based manual processes and redundant data entry, requiring constant intervention in the process and negatively impacting rep satisfaction. This session offers insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Related Updates
RegEd Named SILA 2017 Organization of the Year
RegEd has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017.
RegEd Compliance Thought Leaders to Participate in 29th Annual SILA National Education Conference
RegEd will participate in the 2018 SILA National Education Conference in Indianapolis, IN on Sept. 30-Oct. 3, 2018.
Related Resources
Webinar: Documenting Effective Onboarding Due Diligence
Webinar: Documenting Effective Onboarding Due Diligence
FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.