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Audit Management from RegEd

Comprehensive advisor supervision platform that enables firms to automate branch audits, compliance reviews, and risk assessments. Features include configurable audit workflows, risk-based scheduling, automated deficiency management, and comprehensive reporting and analytics.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...


Advisor Activity Monitoring    
(0 Yes /0 Known /10 Possible features)

Client Communication Supervision    
(0 Yes /0 Known /10 Possible features)

Trade and Transaction Supervision    
(0 Yes /0 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring    
(0 Yes /0 Known /10 Possible features)

Policy Management    
(0 Yes /0 Known /10 Possible features)

Surveillance & Alerting    
(0 Yes /0 Known /10 Possible features)

Case Management & Investigation Tools    
(0 Yes /0 Known /10 Possible features)

Reporting & Analytics    
(0 Yes /0 Known /10 Possible features)

Regulatory Compliance Adaptability    
(0 Yes /0 Known /10 Possible features)

System Security & Privacy Controls    
(0 Yes /0 Known /10 Possible features)

Audit Trail Systems for Compliance and Risk Management

Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
More Audit Trail Systems More Compliance and Risk Management ...


Data Capture & Recordkeeping    
(0 Yes /0 Known /10 Possible features)

Search, Retrieval & Reporting    
(0 Yes /0 Known /10 Possible features)

Security & Access Control    
(0 Yes /0 Known /10 Possible features)

Regulatory Compliance Support    
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability    
(0 Yes /0 Known /10 Possible features)

Scalability & Performance    
(0 Yes /0 Known /10 Possible features)

User Experience & Interface    
(0 Yes /0 Known /10 Possible features)

Notifications, Alerts & Workflow Automation    
(0 Yes /0 Known /10 Possible features)

Audit & Investigation Tools    
(0 Yes /0 Known /10 Possible features)

Customization & Extensibility    
(0 Yes /0 Known /10 Possible features)

Support, Training & Vendor Reliability    
(0 Yes /0 Known /10 Possible features)

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