Optimizing Your Branch Audit Program:

This webinar showcases new features in RegEd’s Audit Management Solution which are designed to enhance firms’ audit tracking and reporting processes. FINRA’s Rule 3110.18 established the framework for the voluntary Remote Inspections Pilot Program, and the new features are built to support firms in meeting the Pilot’s tracking and quarterly reporting requirements. In addition, these new features are beneficial to all clients, regardless of their participation in the Pilot Program.

During this session, we showcased a live demo of RegEd’s Audit Management Solution, highlighting these new, robust features. Learn more about how these features support Pilot Program participants, and how they can help both participating and non-participating firms enhance their internal tracking and reporting processes, and dive deeper into trends around deficiencies and the severity of audit deficiencies identified in their inspection programs.

During the session, we cover:

• Overview of FINRA’s remote inspections pilot program
• Data reporting requirements for participating firms
• Demonstration of RegEd’s audit management features, including audit method and significant findings capabilities
• Enhanced tracking and reporting capabilities to benefit all firms