Overview

RegEd Trade Supervision & Account Monitoring (marketed as “SmartCompli”) is a SaaS compliance solution for financial institutions. It aggregates and normalises trade, account and KYC data across brokerage, advisory, trust and direct‑business segments. The platform offers unified compliance oversight via configurable rules, daily surveillance, and comprehensive reporting — enabling firms to reduce false positives, improve data visibility, and prevent non‑compliance risks.

Features and Capabilities

• Data Management: deep investment‑data model and multiple interfaces; data science driven consolidation of trade, account and KYC data.
• Trade Surveillance: daily monitoring of transactions for suitability, conflicts of interest, and representative registration to ensure compliant recommendations.
• Trade Blotter: supervisory dashboard allowing reviewers to sort trades/alerts, add comments, reconcile and review proactively.
• Account Monitoring: daily account & position reviews against benchmarks, thresholds or firm‑specific configurable rules.
• Oversight & Reporting: real‑time management screens and reporting capabilities on alerts and review statuses.
• Client Account Reviews: tools for fiduciaries and advisors to conduct formal reviews to verify that client goals and investment recommendations remain aligned.
• Investment & Administrative Reviews: supports annual discretionary/advisory account reviews (e.g. Reg‑9) and administrative reviews for trustees/fiduciaries.
• Regulation & Compliance Support: supports regulatory frameworks (e.g. SEC, FINRA, NAIC) via a configurable rules engine, reducing non‑compliance and reputational risk.
• Unified Platform Integration: can be combined with other compliance modules from RegEd (onboarding, registration, audits, etc.) for full lifecycle compliance management.