POLICIES & PROCEDURES MANAGEMENT: CAPABILITIES

An enterprise software solution that enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures.

Map to Requirements

Upload existing policies and procedures and link to rules and regulations to ensure that critical compliance information is up to date.

Hierarchy Management

Manage and maintain policies at the corporate level, while distributing relevant policies and manuals by role, at any level of the firm’s hierarchy.

Version Control

Maintain an archive of previous policy versions and a full audit trail of policy revisions.

Policy
Repository

Store policies in a central repository that is easily accessible for employees based on audience profile.

Regulatory Change Management

Integrate with RegEd’s Regulatory Change Management solution to receive automated notification that change has occurred, as well as which policies require action as a result.

Compliance
Documentation

Streamlines preparedness for regulatory audits and market conduct exams with strong documentation and detailed evidence of compliance.

Policies and Procedures can integrate with Regulatory Change Management to automatically flag policies that are potentially impacted by changes to state insurance department rules, ensuring the firm’s compliance program is current and evergreen.

POLICIES & PROCEDURES MANAGEMENT:
RELATED RESOURCES

Content covering the latest news and best practices for policy & procedures management, from industry and RegEd subject matter experts.

BLOG POST: NASAA Investment Adviser Report Highlights New Model Rules for CE and Policies and Procedures

This blog post reviews NASAA’s recently released annual report on the state-registered investment adviser industry and the related regulatory activities of state securities regulators.

BLOG POST: SEC and FINRA Exam Priorities to Include Firms’ AML Compliance Programs, Including Policies and Procedures

This blog post reviews the SEC’s Office of Compliance Inspections and Examinations (OCIE) examination priorities.

WEBINAR: Effectively Managing Regulatory Change in an Evolving Regulatory Landscape

In this webinar, RegEd Regulatory Affairs directors frame the current landscape, and a RegEd client relates how their firm transformed their regulatory change management function to meet the challenges of a demanding regulatory environment.

WEBINAR: Blueprint for an Effective, Efficient & Agile Policy Management Program

This webinar aims to provide a blueprint for attendees on effective policy management in a dynamic business, regulatory, and risk environment where attendees will learn policy management governance and process that can be applied across the organization at either an enterprise or a department level.

POLICIES & PROCEDURES MANAGEMENT:
RELATED SOLUTIONS

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

REGULATORY CHANGE MANAGEMENT

 A fully integrated solution that streamlines the end-to-end process of managing regulatory change throughout the organization.

REGULATORY EXAM MANAGEMENT

The only solution that provides all the necessary capabilities to efficiently and effectively manage the myriad of tasks undertaken during the course of a regulatory examination.

COMPLIANCE QUESTIONNAIRES

RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires.

ADVERTISING REVIEW

Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.

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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