Overview

RegEd’s Compliance Management Solution Suite is an enterprise cloud platform that centralizes compliance, supervision and regulatory workflows for financial services firms. The suite offers modular capabilities—including advertising review, branch audit management, complaint handling, questionnaires, regulatory change and examination management—designed to automate processes, provide audit-ready records, and integrate with CRM and marketing systems to reduce manual effort and regulatory risk.

Features and Capabilities

• Core Platform & Architecture: RegEd is delivered as an enterprise SaaS platform with a unified data repository, common UI, and APIs for integration into CRM, marketing and third-party systems, enabling centralized compliance data and interoperability.
• Advertising Review: AI-powered advertising and marketing review automates routing, language detection, disclosure validation, version control, multimedia transcription and annotation to accelerate time to market while enforcing firm rules and regulatory requirements.
• Branch Audit Management: Workflow-driven solution to plan, schedule, conduct and report branch inspections (supports FINRA Rule 3110 compliance), reducing manual inspection overhead and improving remediation tracking.
• Complaint Management: End-to-end capture and tracking of complaints with workflow, documentation and remediation features to ensure traceability and regulatory reporting readiness.
• Compliance Questionnaires & Attestations: Integrated, workflow-enabled questionnaires for annual and ad-hoc compliance attestations, with distribution, collection and tracking capabilities.
• Regulatory Change Management: Workflow-enabled change monitoring and processes to track, assign and demonstrate compliance with evolving regulations across the enterprise.
• Regulatory Examination Management: Tools to manage regulatory exams, tasks, evidence capture and examiner interactions to streamline exam preparation and responses.
• Personal Securities / OBA / Gifts Tracking: Modules that automate disclosure capture and monitoring for personal trading, outside business activities, gifts and political contributions, with approval workflows and audit trails.
• Content & Disclosure Management: Centralized approved materials library and content versioning to ensure consistent application of disclosures and approved copy across campaigns and materials.
• Security & Records Compliance: Electronic recordkeeping and archive features built to support SEC-aligned WORM storage and demonstrate compliance for supervisory and audit purposes.
• Analytics & Dashboards: Employee and enterprise compliance dashboards that surface pending obligations, submission status, exceptions and KPIs for oversight and prioritization.