Automated Integrated Unified May 8 9 2017 Ann Robinson SVP Business Development RegEd Overview 20 Years of Industry Experience Headquarters in Raleigh NC 250 FTEs Attorneys Technology Professionals and Industry Specialists ID: 759682
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Slide1
Enterprise Compliance Platform Automated, Integrated, Unified
May 8 – 9, 2017
Ann Robinson, SVP Business Development
Slide2RegEd Overview
20 Years of Industry Experience
Headquarters in Raleigh, NC
250 FTEs, Attorneys, Technology Professionals and Industry Specialists
1,000+
Clients
80 of the Top 100 Financial Firms
1,000,000+ End Users
Compliance Solutions Industry Leader
Compliance and Risk Management
Licensing and Registration
Compliance Education
Slide3Clients, including 400 enterprise clients, encompassing the nation’s top financial services firms
900,000
2
,900,000
1,000
Branch Audits completed
Insurance and securities transactions processed annually
2,900,000
6,500,000
Compliance Questionnaires submitted
1,250,000
Sales campaigns and marketing pieces submitted for compliance review
1,250,000
CE courses and insurance certs delivered
annually
Active licenses and registrations managed
Market
Leadership
1,500,000
End users in broker-dealers, insurance companies and brokers
Slide4Supporting Culture of Compliance
Compliance Monitoring and Management
Annual Compliance Meeting
Audit Management
Compliance Questionnaires
Complaint Management
FINRA Registration Profiles
Advertising Review
Social Media Archiving and Surveillance
Form ADV Part 2B Brochure Supplement
WSP / Policies and Procedures Management
Regulatory Change Management
Conflicts of Interest Management
Outside Business Activities
Personal Securities Account Management
Gifts and Gratuities
Political Contributions
Compliance Education and Product Training
Firm Element Training
Insurance Continuing Education
CE Tracking
CE Program Management
Annuities
Training and Tracking
FINRA Suitability Training
FINRA Exam Prep
eGRC Solutions
Regulatory Change Management
Policies and Procedures Management
Consumer Complaint Management
Regulatory Exam Management
Incident
Management
Contracting, Licensing and Registration
Xchange Licensing and Registration
Xchange for Carriers and Call Centers
Xchange for Distributors
Xchange for Contracting / Onboarding
Xchange for Adjuster Licensing
Registration and Licensing Outsourcing Services
CE Central
Slide5Distinguishing Competencies
Slide6Adaptable enterprise architecture drives speed, efficiency and capacity in RegEd development.
Enables responsiveness to client and regulatory requirements.
Scalable, extendible enterprise platform.
Enterprise-grade
security, availability and performance.
Maximizes return on client compliance spend.
Drives efficiency to reduce operational costs, close compliance gaps.
Embedded business rules, business process automation.
Passes top financial firms extensive security audits.
Highly Scalable Enterprise Technology
Slide7Complex Hierarchy Management
Unlimited hierarchyFully configurableActivate / Deactivate roles.Manage permissions and rolesMove users throughout the established hierarchyRoute content based on roles in hierarchyNightly data refresh
Slide8Central view of status of compliance requirements (e.g., compliance questionnaire, CE fulfillment, etc.) across all platform applications.Ready access to hierarchical and demographic information individual users/employers/reps.Easily update rep attributes to drive program assignments and entitlements.
User Profile
Maintenance
Slide9Business Process Automation
Enables compliance operations to manage high volumes on an exception basis.Fully configurable based on customer business rules.Auto-generate transactions based on specific events / updates.Generates alerts, notifications based on key events and threshold violations.
Slide10Fully configurable alert thresholds and notifications by module.Generates alerts and notification based on key events and threshold violations.Enables identification of negative trends and management by exception.
Notifications
and
Exceptions
Slide11Data Integration / Reconciliation
Centralized data repository with automated data refresh from FINRA and the NIPR.Business process validations with upstream and downstream systems (e.g., order entry, HR, CRM, etc.).Data imports can auto-trigger transactions (e.g., renewals, amendments, etc.).
Data
Feeds
Data
Synch
Data Exchange
FINRA
Distribution
Partners
Third Party
Providers
NIPR
Internal
Databases
Slide12RegEd Solution Suites
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Drives unparalleled efficiencies, optimizes
all processes across on-boarding, registration and licensing activities.
Contracting, Licensing and Registration
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Slide14Proven Success and Market Leadership
200 Xchange clients across all segments of financial services.
Robust
capabilities have been
built-out in partnership with clients over 15 years resulting in the most functionally robust enterprise solution in the market.
Process more than 3.6 million Insurance and securities filings annually
Seamlessly
integrates process
management for Onboarding
/
Contracting,
Licensing, Appointment, Registration and CE delivery and education.
Slide15Xchange
Proven
Solution
Drives
Significant
Efficiencies
Slide16Onboarding
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Streamline Data Collection
and SimplifyCompliance with FINRA ADV Part2B
Xchange ADV
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Slide18Streamlined Onboarding Workflow
Slide19Hierarchy Management
Alerts & Notifications
Gifts and Gratuities
Track exchange ofGifts and non-cash compensation.
Outside Business Activities
Fully manage 3270 compliance
incl. FINRA Web EFT integration.
Personal
Trade Monitoring
Capture, monitor, report on personal trading accounts.
Conflicts of Interest
Manage
the collection, analysis and critical compliance reporting.
Political Contributions
Track
pre-clearance and restrictions as permitted by state or local law.
Conflicts of Interest
Slide20Audit Management
Hierarchy Management
Alerts & Notifications
Compliance Education, Product Training
CE and product training including Firm Element, Insurance CE, Annuities Product Training to satisfy industry, state, federal, professional designation requirements.
FINRA Compliance Program Automation
Automate, streamline FINRA compliance operational processes including Annual Compliance Meeting, Rep Attestations, Complaint Management and more.
Compliance Questionnaires
Robust workflow,
data gathering
tools automate critical oversight of registered persons. Collect, analyze, report oncritical compliance information.
Broker-Dealer
Compliance
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Robust technology, content powers the firm’s compliance program
Compliance Education
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Slide22RegEd Partnership
Slide23Integration with Workflow Participants
Regulatory Gateways
Docupace
Ideas to expand relationship
Industry Gateways
Slide24Thank You