OUTSIDE BUSINESS ACTIVITIES: CAPABILITIES

Hallmarked by robust automation, end-to-end workflow management and FINRA-filing capabilities, Outside Business Activities enables centralized management of OBA disclosures, attestations and amendments, reducing review time and streamlining communication.

Streamlined UX

User-friendly interface guides reps through the request submission process, identifying specific documentation that must accompany the request. Provides access to current U4 record and enables online editing and the creation of new disclosure submissions. View current status of all OBA requests based on assigned permissions.

Advanced Workflow

Requests are automatically routed to the appropriate supervisor based on the firm’s specific hierarchy and defined workflows. Submitted requests can be tracked and approvals, adverse responses or other communications are logged. Automatic email notifications alert and remind task holders to take the next appropriate action.

Audit Trail

Records the full chronology of each request, enabling all stakeholders to identify when the OBA was filed and disclosed to FINRA, and initiate supervisory review activity, reducing potential FINRA exam findings resulting from late filings. Audit history identifies changes to an existing activity that may affect an approval decision.

FINRA Integration

Direct integration with FINRA Web EFT facilitates online filing and reconciliation of U4 amendments, making RegEd the nation’s highest volume FINRA Web EFT filer.

Outside Business Activities is the top solution choice among broker-dealers and a reason why RegEd is the nation’s highest volume FINRA Web EFT filer.

OUTSIDE BUSINESS ACTIVITIES: RELATED RESOURCES

Content covering the latest news and best practices for managing outside business activities and conflicts of interest, from industry and RegEd subject matter experts.

WEBINAR: Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment

This webinar features an expert panel who provide an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic.

CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest

This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.

VIDEO: Enterprise Gifts, Gratuities and Contributions Management

This video provides an overview of RegEd’s Enterprise Gifts, Gratuities and Contributions Management, the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.

WEBINAR: Keeping a Grip on Employee Conduct and Conflicts of Interest

This webinar features an expert panel that offers insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.

OUTSIDE BUSINESS ACTIVITIES: RELATED SOLUTIONS

Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.

GIFTS, GRATUITIES & CONTRIBUTIONS

RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.

PERSONAL SECURITIES ACCOUNT MANAGEMENT

RegEd’s Personal Securities Account Management automates the management of personal trading activities, so firms can have confidence they are embedding best-practices in their compliance program.

POLICIES & PROCEDURES MANAGEMENT

RegEd’s Policies & Procedures Management solution enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures.

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.

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.

Scroll to top