INTELLIGENT TRADE SUPERVISION AND ACCOUNT MONITORING
Deliver best-in-class surveillance & monitoring with sophisticated workflow and case management tools including robust reporting and oversight.
Reduce False Positives
& Minimize Noise
Reduces false positives through a rich data model and configurable rules engine, resulting in less time spent researching nonissues.
Improve
Data Visibility
Deep data model and expanding rules engine ensures there are no blind spots across the trading ecosystem.
Reduce Non-Compliance
& Reputational Risk
Solution features are designed to provide flexibility and efficiency to map to regulatory requirements and prevent fines & reputational risks.
Unify Accounts
To Eliminate Costs
Allows Fiduciary, Advisory, and Brokerage accounts to be on the same compliance platform, reducing both hard and soft costs.
DISTINGUISHING CAPABILITIES
Data Management
The depth of investment data and numerous interfaces combined with our approach to data science is the foundation of all our technology.
Trade Surveillance
Transactions are surveilled daily to monitor for suitability, conflict of interest and rep registration to ensure proper investment recommendations.
Trade Blotter
The supervisory professional responsible for reviewing trades can easily identify and sort trades, comment on trades or alerts, and reconcile everything proactively.
Account Monitoring
Monitor positions and account data each day against benchmarks, thresholds or configurable rules set by the firm.
Oversight and Reporting
Management screens and reports enable real-time reporting on alerts and reviews.
Client Account Reviews
Advisories & fiduciaries can perform formal reviews to continuously understand client goals to ensure proper recommendations.
Investment Reviews
Ability for Bank Trusts to perform annual Reg 9 reviews for all discretionary and advisory accounts.
Administrative Reviews
Bank Trusts can perform administrative reviews when they act as a fiduciary or trustee.
“We are extremely pleased with the solution, which has so far proven to be an incredibly well-designed product. The implementation process has been exceptional, allowing a seamless transition from our legacy vendor.”
– General Counsel & Chief Compliance Officer
TRADE SUPERVISION AND ACCOUNT MONITORING: RELATED RESOURCES
Content covering the latest news and best practices for trade supervision and account monitoring, from industry and RegEd subject matter experts.
ARTICLE: SEC-Compliant Electronic Storage and Designated Third-Party Services
This article discusses how firms are required to maintain electronic records in a format that complies with SEC rules and how they can leverage RegEd’s electronic recordkeeping capabilities to comply with these requirements.
CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
VIDEO: Enterprise Gifts, Gratuities and Contributions Management
This video provides an overview of RegEd’s Enterprise Gifts, Gratuities and Contributions Management, the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
WEBINAR: Keeping a Grip on Employee Conduct and Conflicts of Interest
This webinar features an expert panel that offers insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
TRADE SUPERVISION AND ACCOUNT MONITORING: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
GIFTS, GRATUITIES & CONTRIBUTIONS
RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
OUTSIDE BUSINESS ACTIVITIES
Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.
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.
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.
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.