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Webinar
Optimizing Your Branch Audit Program:
Seamless Compliance with FINRA’s Remote Inspections Pilot Program and More
Speakers
Tara Micgiel
Solutions Architect
RegEd
Rob Davis
Product Manager
RegEd
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
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.