Overview

Personal Securities Account Management is a compliance‑oriented SaaS module from RegEd that automates tracking, supervision and reporting of personal trading accounts within financial firms. It enables firms to monitor employee trades, holdings and accounts, generate audit trails, and ensure compliance with regulatory and internal rules — reducing manual workload while improving oversight and transparency.

Features and Capabilities

• Attestation Tracking: Intuitive online completion of periodic account, trade and holding attestations.
• Advanced Reporting: On‑demand or pre-defined report formats for trading activity, holdings and compliance data.
• Audit Trail: Captures requests, approvals, exceptions, and tracks all relevant compliance‑related events.
• Comprehensive Monitoring: Tracks pre‑clearance requests, restricted‑security lists, employee accounts, trading activity and securities holdings.
• Direct Integration to Brokerage Feeds: Supports electronic feeds from major brokerage firms, and enables automated trade entry from confirmations and statements.
• Fully Customizable Workflow: Trade rules, submission forms, approval routing, email notifications and regulatory‑specific letters (e.g. “3210 letters”) can be tailored to a firm’s internal business and compliance rules.
• Robust Surveillance & Alerting: Monitors trading activity to detect potential compliance violations — e.g. restricted‑stock trading or “front‑running” — and issues alerts for exceptions.
• Compliance‑Best‑Practice Content: Comes with pre-built compliance questionnaires and brochure output aligned with regulatory requirements and industry best practices.