Overview

RegEd is an enterprise‑grade RegTech platform designed for financial services firms (insurers, broker‑dealers, banks, investment advisers etc.). It consolidates compliance, licensing, registration, education, advertising review and regulatory‑change management into one unified SaaS solution. RegEd helps firms automate workflows, reduce manual effort, maintain audit‑ready records, and manage complex regulatory requirements across jurisdictions and regulators (state DOI, FINRA, SEC).

Features and Capabilities

• Onboarding, Licensing & Registration: unified lifecycle management of agent/advisor onboarding, licensing, registration, “clear to sell” signalling.
• Compliance Management: supports advertising review, conflicts of interest tracking, branch audits, complaint management, compliance questionnaires, regulatory examinations, audit reporting.
• Advertising Compliance & Marketing Content Review: AI‑powered advertising review — lexicon detection, smart disclosures, dynamic workflows, version control, context‑aware compliance checks for marketing materials. Automation reduces human intervention by up to ~70–80%.
• Regulatory Change Management: tracks regulatory updates and ensures internal policies and procedures stay aligned with evolving regulations.
• Education & Training: provides compliance education, product training, continuing education (CE) courses and certification to satisfy regulatory training requirements.
• Enterprise‑grade Workflow Automation & Data Integration: unified data repository, common UI, complex hierarchy management, API integration with CRM/marketing systems, WORM‑archive for audit compliance, reporting dashboards.
• Scalable for SMB to Large Enterprises: with offerings tuned for midsize broker‑dealers through to top-tier financial firms.