Licensing and registration teams are being asked to do more with less – and the data proves it.

RegEd’s latest industry survey examined how securities firms are managing licensing, registration, and compliance data today. The findings reveal lean teams, manual processes, and fragmented systems – at a time when the industry demands faster onboarding, higher accuracy, and greater scalability.

Among the results:

  • Nearly three-quarters of firms are running this critical function with five or fewer dedicated staff
  • Two-thirds still rely on email and spreadsheets
  • Not a single respondent reported fully automated data tracking

Yet firms are clear about what they need – 86% prioritize data accuracy, 75% are targeting registration automation as their top investment over the next 2–3 years, and demand for integration and workflow modernization is strong across the board.

This whitepaper serves as an industry benchmark. Download the full report to see where your firm stands.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.

 

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