The efficient and effective management of compliance programs is vital not only for the protection of investors but also for the sustainability and growth of financial institutions. As the regulatory environment continues to evolve, broker-dealers face ever-increasing challenges in meeting their obligations while striving to maintain operational efficiency.

To gain insight into the current state of branch examination programs among mid-sized and large U.S. broker-dealers, RegEd partnered with Essential Edge, a trusted compliance consulting and outsourcing firm, to undertake a comprehensive survey. Respondents for this study were Compliance and Audit leaders within the broker-dealer firms, representing a diverse cross-section of the industry.

The focus of this study revolves around three overlying questions:

1. What is the current state of branch examination programs among mid-sized to large U.S. broker-dealers?

2. What are the challenges and strategies employed by broker-dealers for their branch examination programs?

3. How are broker-dealers leveraging technology to improve their branch examination programs?

Download this report to learn more.

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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