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(Image source: RegEd homepage.)
RegEd (Raleigh, N.C.) has launched the RIA Compliance Control Center, a platform designed to help registered investment advisers (RIAs) automate and centralize oversight of regulatory obligations. The solution supports compliance with both SEC and state requirements.
Adam Schaub, VP, Platform Product Management, RegEd.
The platform is available in modular or bundled formats and includes features such as trade monitoring, Form ADV management, continuing education tracking, and advertising review. Additional tools cover licensing, registration, onboarding, and outside business activity disclosures. Integration capabilities with CRM and marketing systems are available through open APIs.
“Registered investment advisers need tools that not only ensure compliance, but also scale with their business,” says Adam Schaub, VP, platform product management, RegEd. “The RIA Compliance Control Center delivers the automation, integration, and visibility firms need to simplify oversight, reduce risk, and keep pace with a fast-evolving regulatory environment.”
Holistic View of Firmwide and Individual Compliance Status
The system provides a unified compliance dashboard, WORM archiving, customizable questionnaires, and advanced hierarchy management. By offering a holistic view of firmwide and individual compliance status, the platform aims to help RIAs prioritize tasks, reduce manual processes, and improve efficiency.
RegEd provides regulatory technology solutions to over 200 enterprise clients, including more than 35 of the top 50 U.S. insurance companies. Founded in 2000 by former regulators, the firm specializes in compliance automation and risk mitigation for financial services organizations.
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