REGULATORY EXAM MANAGEMENT: CAPABILITIES

Regulatory Examination Management is 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.

Task Management

Assign, manage and monitor all tasks related to exams, including data requests, examiner communication, remediation, and more.

Compliance Portal

Facilitate communication with regulators and among the firm’s extended enterprise including producers and others not directly employed by the firm.

Examiner Profile

Capture individual examiner preferences, notes and other data related to examiners.

Case Management

Provide a closed-loop process for managing the implementation of corrective actions with a demonstrable audit trail.

Document Management

Include version control and history, compare function, and more.

Full Audit Trail

Centralize and memorialize all communications and transfers of information, task completion and case remediation.

RegEd’s Regulatory Exam Management solution installs best practices and drives the highest levels of efficiency across all exam management processes, enabling firms to significantly reduce the time and resource commitment required during a regulatory exam.

REGULATORY EXAM MANAGEMENT: RELATED RESOURCES

Content covering the latest news and best practices for managing regulatory examinations, from industry and RegEd subject matter experts.

WEBINAR: FINRA’s 2021 Examination and Risk Monitoring Program Report

This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of FINRA’s report, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.

WEBINAR: FINRA, SEC and State Securities Enforcement Trends

This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.

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.

VIDEO: Achieving a Unified Compliance and Credentialing Technology Vision

This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.

REGULATORY EXAM MANAGEMENT: RELATED SOLUTIONS

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

COMPLAINT MANAGEMENT

Complaint Management enables firms to systematically capture and track complaints that are reported directly to the firm or to regulators, streamlining the end-to-end process of complaint resolution throughout the organization.

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.

REGULATORY CHANGE MANAGEMENT

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

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.

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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