Rep-related compliance management was a homegrown issue until StoneRiver - RegEd used its knowledge and experience to develop ground-breaking solutions that simplify the process of complying with onerous and ever-changing regulatory requirements and increase a firm's ability to satisfy meticulous regulators. RegEd offers ASP software solutions to improve compliance processes at firms of every size. From Advertising Review Compliance, to Audit Management, Compliant Management, Questionnaires Administration and more, our compliance management solutions routinely help firms satisfy regulatory reporting requirements and audits for representative compliance, with positive results. Our industry-leading financial services firm customers have worked hand-in-hand with us to develop solutions that are powerful enough to meet exacting regulatory standards, yet flexible enough to meet each unique firm's individual requirements.
ACM OnDemand
RegEd's ACM OnDemand takes advantage of the FINRA's November 2006 interpretation of Rule 3010(a)(7), by making it easier, and less costly, for firms of any size to comply with the Annual Compliance Meeting requirement. The FINRA ruled that firms can now use "on-demand" webcast technology to deliver their ACM, without using a live facilitator. Under this ruling, registered representatives can access the recorded webcast at their convenience, provided that certain technological safeguards are followed.
Our ACM OnDemand fully complies with all FINRA requirements. In developing a webcast meeting, RegEd customers can choose from our proprietary ACM OnDemand content catalog, or provide custom content. RegEd offers a series of relevant topics that can be combined to create the most appropriate ACM for each customer's unique needs. Alternately, customers can provide their own audio, video or slides to be developed into a customized ACM.
AdTrax
RegEd's AdTrax is the industry's first comprehensive workflow management solution for managing Advertising and Sales Material Compliance Review. AdTrax enables companies to turn the onerous, paper-driven process of reviewing, editing and approving advertising and promotional materials, into an efficient, well-managed, paperless workflow. AdTrax creates a seamless process for electronic submission, review, and collaboration, with automatic email notification of status and action required.
AdTrax includes a comprehensive, centralized database that stores all company-approved materials. Marketing professionals can access this database and search for approved materials that serve their needs, before creating and submitting new materials to the review process. This feature saves valuable time and resources for both marketing and compliance professionals.
AuditTrax
RegEd's AuditTrax is the leading audit management solution in the market. Our clients currently manage over 150,000 audits annually using the integrated, electronic scheduling, tracking and reporting tools that AuditTrax provides.
AuditTrax is a market-tested, proven solution for streamlining the required annual audit process.
CE Central
CE Central simplifies management of producer compliance with state CE requirements. CE Central marries licenses held, in user profiles, with jurisdictional requirements to create a single view of each producer's requirements.
CE Central can directly interface with many CE providers for automatic collection of course completion information. Users can also directly enter self-study, conference and seminar credits. CE Central can be private labeled and integrated as another service on your firm's producer services web site.
Compliance Questionnaires
RegEd Compliance Questionnaires provide an efficient, purely electronic system for managing collection, analysis and reporting of the critical representative compliance information required by the FINRA. Questionnaires' post-processing functionality gives a firm the power to conduct multi-stage response analysis and review with detailed reporting, color-coding of critical questions and integrated email noticing technology.
RegEd Questionnaires is fully customizable to your unique requirements. Tailor the web-based user-interface, the compliance information you collect, and the detailed reporting functionality to obtain seamless, paperless access to required regulatory data from your representatives.
With Questionnaires, you can automate the entire compliance workflow. The system will automatically flag answers that require management attention, trigger additional questions to gather supplementary information, initiate follow-up tasks, and provide links to firm-specific documents and compliance manuals, all according to your specifications.
DataTrax
RegEd's web-based securities application allows firms to manage all FINRA related registration information on each of their registered representatives to ensure regulatory requirements are met. Compliance administrators can access a comprehensive view of all new and updated information on their representatives on a daily basis, inclusive of registration details, exam completions and continuing education requirements. With two way integration with FINRA through WebEFT, DataTrax gives professionals access to timely registrant information reducing informational errors and resulting phone calls to firm personnel. By implementing U4 amendments firms can push the burden of U4 updates down to representatives and managers with RegEd’s verification process still allowing administrators to retain control of the update process.
EventTrax
EventTrax provides an innovative online interface to administer the FINRA's annual compliance meeting requirement and other online events, and allows firms to efficiently provide online registration, delivery, and tracking of meeting attendance. The virtual meeting enables firms to hold interactive meetings online without the costly time and travel expenses associated with live meetings.
Xchange
RegEd worked with the industry's leading carriers and distributors to build an integrated application that satisfies the largest firms' most complex requirements for contracting, insurance licensing and securities registration, from end-to-end. Today, Xchange is installed in firms of every size, in every segment of the financial services industry.
Xchange eliminates the paper in contracting, licensing and registration by placing a user-friendly Q&A engine directly in the hands of your producers. Collected once, producer profile data is stored in the Xchange database and called upon for contracting, licensing, appointments, securities registration and continuing education.
Xchange will fully automate your entire licensing and registration enterprise from the producer desktop all the way through to the regulatory authorities. E-contracting incorporates your company-specific forms and processes. You implement Xchange's customizable workflows and integrate Xchange data with other critical systems like Human Resources and New Business/Commissions. With Xchange a firm can automate processes that were formerly manual and human intensive. Xchange can verify a new producer's appointment status after a sale and trigger a just-in-time appointment based upon activity in your commission system. Xchange can also initiate a license amendment from a change of address in your HR system, and more.
Fully integrated with the NIPR and the FINRA's Web CRD, Xchange will push and pull representative and agent information, conduct verifications and identify data disparities, as permitted by regulators.
The possibilities are unlimited. As an application that is centered and built on client-defined needs, Xchange continues to grow and adapt to regulatory changes and client requests.
Visit http://reged.stoneriver.com for additional details.