Overview

RegEd Branch Audit Management is an enterprise SaaS solution that centralizes planning, scheduling, execution, remediation and reporting of branch inspections to help firms comply with FINRA Rule 3110 and related regulatory requirements. The platform supports pre-audit data pre-population, mobile and HTML5 offline audits, integrated remediation workflows, auto-generated findings letters and optional risk scoring, and includes features to manage remote inspections under FINRA’s Remote Inspections Pilot Program.

Features and Capabilities

• Audit Cycle Management and Dashboards: Auto-generation of audit cycles and due dates aligned to firm policies and regulations, plus program- and audit-level dashboards for oversight.
• Customizable Audit Content: Extensive answer types, branching logic, contextual help, hyperlinking and formatting to guide auditors through inspections.
• Audit Data Pre-Population: Pre-audit questionnaires and automatic data pre-population reduce manual entry and accelerate audit cycles.
• FINRA Remote Inspections Support: Purpose-built capabilities for virtual audits, remote document collection, risk-based scheduling and automated reporting for remote inspections programs.
• Integrated Remediation: Built-in remediation workflows, repeat-deficiency tracking and a unified interface for auditors and respondents to resolve issues efficiently.
• Findings Letters: Automatically generated, customizable findings letters with live editing to ensure consistency and reduce post-audit work.
• Offline & Mobile Support: HTML5 offline functionality and mobile device support enable auditors to complete inspections without continuous connectivity.
• Risk Scoring & Analytics (optional): Risk scoring across units and locations, combined with analytics to prioritize audits and remediation activities.
• Enterprise Scale & Metrics: Mature, widely adopted solution with a long operational track record and millions of completed examinations across large financial organizations.