Average Ratings 0 Ratings
Average Ratings 0 Ratings
Description
RegEd offers the most extensive compliance management platform in the financial services sector, with over 80% of the leading firms relying on its capabilities. This singular solution effectively oversees the entire process of onboarding agents and advisors while ensuring compliance, providing a streamlined experience along with “clear to sell” notifications for distribution partners. It allows for efficient handling of regulations from various authorities, including FINRA, SEC, and state DOI, covering essential areas such as Advertising Review, Conflicts of Interest, and Branch Audits. Additionally, it encompasses all necessary aspects of compliance awareness, adaptability to regulatory shifts, and alignment with your firm’s policies and procedures. As a premier provider of Compliance Education, Product Training, and Annual Compliance Programs, RegEd facilitates over one million Continuing Education courses and insurance certifications annually, ensuring that professionals stay informed and compliant in a dynamic regulatory environment. This comprehensive approach not only enhances compliance but also empowers firms to maintain a competitive edge.
Description
Our cutting-edge compliance software caters to a wide range of organizations, from large compliance firms to smaller RIA compliance teams. The SmartRIA platform is specifically tailored to meet the diverse needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth managers, and the personnel that support them. SmartRIA empowers firms like yours to flourish in a competitive landscape. Are you looking for a solution that can efficiently manage hundreds of professionals while scaling alongside your needs? SmartRIA stands out as the most adaptable RIA compliance management platform available in the market. You can trust that your cyber-defense protocols and procedures will safeguard the sensitive client information entrusted to your firm through meticulous professional evaluation and documentation. Leverage SmartRIA to establish robust documentation practices and foster a compliance-oriented culture, ensuring that your operational processes are as efficient and transparent as possible. With the SmartRIA platform, you will join over 2,400 firms that are already benefiting from this effective RIA compliance management tool, making it a trusted choice for the industry. This platform not only simplifies compliance management but also enhances overall operational effectiveness for its users.
API Access
Has API
No
API Access
Has API
No
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Customer Support
Business Hours
No
Live Rep (24/7)
No
Online Support
Yes
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
No
In Person
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
No
Vendor Details
Company Name
RegEd
Founded
1994
Country
United States
Website
www.reged.com
Vendor Details
Company Name
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Product Features
Complaint Management
Case Management
No
Complaint Classification
No
Corrective Actions (CAPA)
No
Customer Complaint Tracking
No
Feedback Management
No
Forms Management
No
Issue Tracking
No
Quality Assurance Management
No
Routing
No
Self Service Portal
No
Social Media Monitoring
No
Survey Management
No
Compliance
Archiving & Retention
No
Artificial Intelligence (AI)
No
Audit Management
No
Compliance Tracking
No
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
No
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No
Compliance Training
Multiple Locations / Departments
No
Online / Self-Paced
No
Anti-Bribery Training
No
Certification Management
No
Conflicts of Interest Training
No
Content Builder
No
Customer Service Standards
No
Customizable Branding
No
Diversity Training
No
Fair Disclosure
No
Federal / State Regulation Compliance
No
Gamification
No
Harassment / Discrimination Training
No
Industry-Specific Courses
No
Instructor-Led Training
No
Interactive Quizzes
No
Progress Tracking
No
Reporting / Analytics
No
Role-Specific Versions
No
Security / Privacy Training
No
Text / Email Reminders
No
Workplace Safety
No
Product Features
Compliance
Archiving & Retention
Yes
Artificial Intelligence (AI)
No
Audit Management
Yes
Compliance Tracking
No
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
Yes
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No