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What is RegEd?

RegEd delivers the most comprehensive compliance management platform within the financial services industry, with more than 80% of top firms depending on its robust features. This all-in-one solution proficiently manages the onboarding process for agents and advisors while guaranteeing adherence to compliance standards, offering a seamless experience paired with “clear to sell” alerts for distribution partners. It efficiently navigates regulations imposed by various governing bodies, such as FINRA, SEC, and state DOI, addressing critical areas including Advertising Review, Conflicts of Interest, and Branch Audits. Furthermore, it incorporates all vital components of compliance awareness, the ability to adapt to regulatory changes, and alignment with the policies and procedures of your organization. As a leading provider of Compliance Education, Product Training, and Annual Compliance Programs, RegEd oversees the completion of over one million Continuing Education courses and insurance certifications each year, ensuring that professionals remain knowledgeable and compliant amid an ever-changing regulatory landscape. This holistic strategy not only bolsters compliance but also equips firms with the tools necessary to stay ahead in a competitive market. By prioritizing education and adaptability, RegEd plays a crucial role in shaping the future of compliance in the financial services sector.

What is Intapp Employee Compliance?

Intapp Employee Compliance enhances the management of your firm's personnel's financial interests and external activities while ensuring that they adhere to internal ethical standards and documentation protocols. This comprehensive solution supports professionals in meeting both organizational and legal requirements, thereby simplifying the oversight responsibilities for compliance teams as they track individual actions. By providing employees with user-friendly tools, adherence to company policies becomes easier, enabling the validation of information through standardized data and the detection of any inconsistencies. The system proactively notifies employees about required actions and keeps tabs on their progress, which aids in prompt responses and approvals through streamlined workflows and alerts. Furthermore, it generates detailed histories that are instrumental for both firm management and regulatory authorities. A centralized platform allows staff to efficiently manage and request approval for regulated activities, effortlessly merging employee compliance with your existing HR and trading systems. To further boost usability, it presents role-specific, centralized data views along with versatile reporting features that can be customized to fit the specific requirements of your organization. This adaptability not only improves efficiency but also fosters a culture of compliance throughout the firm.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Has API

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Web-Based Support

Customer Service / Support

Standard Support
Web-Based Support

Training Options

Documentation Hub

Training Options

Documentation Hub
Webinars
Online Training

Company Facts

Organization Name

RegEd

Date Founded

1994

Company Location

United States

Company Website

www.reged.com

Company Facts

Organization Name

Intapp

Date Founded

2000

Company Location

United States

Company Website

www.intapp.com/employee-compliance/

Categories and Features

Complaint Management

Not specified

Compliance

Not specified

Compliance Training

Not specified

Marketing Compliance

Not specified

Categories and Features

HR Compliance

Not specified

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