Conflicts of interest (COI) programs are under more regulatory scrutiny than ever. Yet many firms still manage Gifts, Gratuities & Contributions (GGC), Outside Business Activities (OBA), and Personal Securities Accounts (PSA) through spreadsheets, email chains, and disconnected processes. Our new white paper uncovers the hidden operational and financial costs of manual conflict oversight. The findings are eye-opening:
- Up to 439 hours reclaimed annually through automation of personal securities account supervision and reviews
- $227,000 in net present value (NPV) savings and $279,000 in cash-flow savings over five years with an integrated COI suite
- 27% to 33% ROI across key conflicts management programs, with payback achieved within the first year
- 60% reduction in annual fine-related risk exposure through improved oversight, auditability, and compliance controls
The challenge goes beyond administrative inefficiency. Manual COI processes create review bottlenecks, inconsistent supervision, reporting blind spots, and increased regulatory risk. As FINRA and SEC requirements continue to evolve, firms relying on spreadsheets and email are left struggling to keep pace. Forward-thinking firms are taking a different approach. By automating conflicts of interest management, they are reducing risk, reclaiming valuable compliance resources, and creating a scalable framework that can adapt as regulations change.
Download the full white paper for more insights.
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.