INDUSTRIES
Proven Solutions for Broker-Dealers and Investment Advisors
Securities firms are under pressure to identify highly effective and cost-efficient strategies to manage compliance and registration requirements across the enterprise. A simplified user experience, from onboarding to managing day-to-day requirements, increases rep satisfaction.
Compliance Management Solutions
RegEd’s Compliance Management solution suite enables firms to automate and streamline compliance operational processes to effectively and efficiently meet compliance obligations, proactively manage their compliance program and identify and mitigate risk.
Conflicts of Interest Management
RegEd’s fully integrated Conflicts of Interest Management Solution Suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Education and Training Solutions
With RegEd’s Education and Training, fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal regulation, as well as requirements to maintain professional designations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Licensing & Registration Solutions
RegEd’s Xchange solution suite provides a unified solution that is powered by an extensive compliance rules engine.
Xchange enables firms to seamlessly execute the complex processing requirements associated with tracking education credentials and licensing, registration and compliance requirements.
Compliance Management Solutions
RegEd’s Compliance Management solution suite enables firms to automate and streamline compliance operational processes to effectively and efficiently meet compliance obligations, proactively manage their compliance program and identify and mitigate risk.
Conflicts of Interest Management
RegEd’s fully integrated Conflicts of Interest Management Solution Suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Education and Training Solutions
With RegEd’s Education and Training, fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal regulation, as well as requirements to maintain professional designations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Licensing & Registration Solutions
RegEd’s Xchange solution suite provides a unified solution that is powered by an extensive compliance rules engine.
Xchange enables firms to seamlessly execute the complex processing requirements associated with tracking education credentials and licensing, registration and compliance requirements.
Compliance Management Solutions
RegEd’s Compliance Management solution suite enables firms to automate and streamline compliance operational processes to effectively and efficiently meet compliance obligations, proactively manage their compliance program and identify and mitigate risk.
Conflicts of Interest Management
RegEd’s fully integrated Conflicts of Interest Management Solution Suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Education and Training Solutions
With RegEd’s Education and Training, fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal regulation, as well as requirements to maintain professional designations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Licensing & Registration Solutions
RegEd’s Xchange solution suite provides a unified solution that is powered by an extensive compliance rules engine.
Xchange enables firms to seamlessly execute the complex processing requirements associated with tracking education credentials and licensing, registration and compliance requirements.
-
Case Study: 1st Global
1st Global’s compliance program was managed using a combination of homegrown tools, shareware and spreadsheets. Employee and compliance data was housed across multiple internal systems, which lacked integration and required considerable internal staff for ongoing support and maintenance. Download this case study to learn how 1st Global partnered with RegEd to drive a company-wide initiative focused on strengthening their compliance program through the introduction of advanced compliance and operations technology.
Industry News
Read about the latest trends, hot topics, and developments affecting the securites industry.
Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.
Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can now take advantage of full automation with our two-way integration.
Industry Resources
Access thought leadership content to learn more about industry best practices, RegEd solutions and more.
Video: RegEd SCORE Risk Control Center
Video: RegEd SCORE Risk Control Center
Learn how SCORE delivers a clear view of compliance requirements and risks, at the enterprise level or specific to the employee.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.
-
Schedule a
Consultation
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise solutions enable our clients to improve efficiency, effectiveness and transparency across the enterprise.