PERSONAL SECURITIES ACCOUNT MANAGEMENT: CAPABILITIES

Personal Securities Account Management leverages RegEd’s powerful platform capabilities to automate and streamline the time consuming supervision and reporting of personal trading accounts.

Attestation Tracking

Intuitive, online completion of periodic account, trade and holding attestations.

Direct Integration to Brokerage Feeds

Integrates electronic feeds from top brokerage firms, automated trade entry from confirmations and statements.

Fully Customizable

Trade rules, submission forms, approval routing, email notifications and 407 letters can be tailored to the firm’s unique business rules and work processes.

Identify Exceptions

Verify trading activity and issue alerts to enable identification and resolution of exceptions.

Advanced Reporting

Reports can be generated on-demand or by using pre-defined report formats.

Audit Trail

Captures requests, approvals, exceptions, audit trails and other pertinent information.

Comprehensive Tracking

Easily track pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee securities holdings.

Robust Surveillance

Monitor for activities such as front-running and restricted stock trading.

Direct Feeds for Surveillance (Powered by FIS)

Personal Securities Account Management integrates electronic feeds from top brokerage firms including:

PERSONAL SECURITIES ACCOUNT MANAGEMENT:
RELATED RESOURCES

Content covering the latest news and best practices for personal securities account management 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.

Personal Securities Account Management provides robust capabilities to effectively capture, monitor and report on employee personal trading activities. Capabilities include the ability to track pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee securities holdings.

PERSONAL SECURITIES ACCOUNT MANAGEMENT:
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.

OUTSIDE BUSINESS ACTIVITIES

Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.

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.

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