Overview

RegEd’s Enterprise Gifts, Gratuities & Contributions Management is an enterprise SaaS solution that automates submission, approval, aggregation and tracking of gifts, business entertainment, non-cash compensation and political contributions. The platform centralizes conflict-of-interest data, enforces configurable policy thresholds and workflows, integrates with expense systems via API, and provides dashboards, alerts and audit trails to help firms meet regulatory rules (including FINRA Rule 3220) and internal policies.

Features and Capabilities

• Submission & Intake: Streamlined electronic submission forms for gifts, entertainment, political contributions and non-cash compensation, with structured metadata for amount, recipient, date and category.
• Aggregation & Thresholding: Automatic aggregation of gifts by person and entity, configurable firm thresholds for supervisory review and escalation to meet regulatory aggregation requirements.
• Workflow & Approvals: Multi-stage, configurable approval workflows that mirror firm hierarchies; role-based routing and supervisory sign-offs.
• Policy Enforcement & Supervision: Embedded business rules and compliance validations to enforce firm policy, plus permission-based contact directories so users see only authorized contacts.
• Integration & Expense Sync: API integration with expense management systems to ingest expense-reported events and avoid duplicate entries; create submissions automatically from expense feeds.
• Alerts & Dashboards: Real-time alerts on exceptions, dashboards for status and supervisory oversight, and reporting to demonstrate remediation and regulatory compliance.
• Audit Trail & Reporting: Full audit trails, historical records and exportable reports for examinations and internal review.
• Implementation & Services: Implementation specialists assist with configuration of thresholds, categories and workflows so setups align with firm policy.
• Scalability & Enterprise Fit: Designed for large, regulatory-intensive firms such as broker-dealers, banks and insurance companies, with multi-hierarchy support and enterprise-grade security controls.