RegEd Compliance Management Solution Suite

The RegEd Compliance Management Solution Suite is an enterprise software solution designed to efficiently manage compliance requirements from regulators in the financial services industry. According to the vendor, this suite of software solutions is targeted towards financial services firms of various sizes, including banks, broker-dealers, and insurance companies. It is utilized by compliance officers, operations managers, technology stakeholders, and professionals in the banking, broker-dealer, and insurance industries.

Key Features

Advertising Review: According to the vendor, this feature is powered by advanced technology to automate and streamline marketing compliance review, aiming to speed up the time to market for marketing materials and reduce the risk of non-compliance.

Branch Audit Management: This enterprise software solution efficiently plans, schedules, conducts, resolves, and reports on branch inspections, aiming to ensure compliance with regulatory guidelines and provide comprehensive oversight of branch inspections.

Complaint Management: The software solution systematically captures and tracks complaints, aiming to streamline the end-to-end process of resolution and remediation, effectively managing and resolving customer complaints to improve satisfaction and regulatory compliance.

Compliance Questionnaires: According to the vendor, this feature offers a robust set of integrated, workflow-driven, enterprise tools that enable firms to initiate, distribute, and track annual compliance questionnaires required by FINRA, aiming to maintain a strong compliance program and streamline the compliance questionnaire process.

Form ADV Part 2B Supplement: This electronic workflow solution integrates with existing representative data, aiming to streamline compliance with Form ADV Part 2B requirements, reduce administrative burden, and improve efficiency in managing representative data.

Gifts, Gratuities, and Contributions: According to the vendor, this feature manages the submissions, approvals, and tracking of gifts, business entertainment, non-cash compensation, and political contributions, aiming to help firms comply with regulations regarding gifts and contributions, streamline the review and approval process, and ensure transparency and accountability.

Outside Business Activities: This feature enables centralized, systematized management of OBA disclosures, attestations, and amendments, aiming to reduce review time and facilitate communication to speed up the decision process, help firms comply with OBA regulations, and improve oversight of outside business activities.

Personal Securities Account Management: The product automates and streamlines the supervision and reporting of personal trading accounts, aiming to ensure compliance with personal trading policies, reduce manual processes, and enhance transparency and accountability.

Policies & Procedures Management: This enterprise software solution enables comprehensive administration and oversight of the firm's policies and procedures by centralizing policy and procedure documentation, streamlining policy review, approval, and distribution processes, and enhancing compliance with regulatory requirements.

Regulatory Change Management: According to the vendor, this workflow-enabled enterprise software solution helps firms stay aware of, comply with, and demonstrate compliance with regulatory changes by providing a centralized platform for tracking and managing regulatory changes, streamlining the process of assessing the impact of regulatory changes, and ensuring timely compliance with regulatory requirements.