INTELLIGENT TRADE SUPERVISION AND ACCOUNT MONITORING
Deliver best-in-class surveillance & monitoring with sophisticated workflow and case management tools including robust reporting and oversight.
“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.
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.
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.