RegEd Launches ‘Compliance Control Center’ Technology Bundle to Deliver Best-In-Class Oversight for Midsized Broker-Dealers


New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms

Raleigh, NC, Jan. 31, 2024 (GLOBE NEWSWIRE) — RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the largest organizations, at a price point that is accessible for smaller firms.

The Compliance Control Center’s comprehensive suite of capabilities streamline and strengthen compliance processes across the organization. Key functionality includes:


  • Personal Trade Monitoring: Leverage powerful automated trade surveillance capabilities, integrate electronic feeds from top brokerage firms and automate trade entry from confirmations and statements.
  • Personal Securities Accounts: Automate and streamline the time-consuming disclosure, tracking and supervision of personal securities accounts.
  • Gifts, Gratuities, and Contributions: Manage the submissions, approvals and tracking of gifts, business entertainment, noncash compensation and political contributions.
  • Outside Business Activities: Enable centralized management of OBA disclosures, attestations and amendments, as well as FINRA reporting, to reduce review time and streamline communication.
  • Compliance Questionnaires: Create, distribute and track annual compliance questionnaires, and other critical questionnaires integral to maintaining a strong compliance program.
  • Client Trade Supervision & Account Monitoring: Efficiently manage client trade supervision and account monitoring across brokerage, advisory, trust and direct business.
  • Securities Registration: Automate the securities registration process for financial advisors and representatives, ensuring compliance and streamlining operations.
  • Advertising Review: Advanced capabilities leverage AI technology to automate and streamline marketing compliance review and speed time to market while reducing non-compliance risk.

Incorporating advanced compliance technology, including AI, the solution automates and simplifies complex tasks, ensuring compliance with industry regulations such as FINRA requirements. Its comprehensive feature set includes a unified data repository; common user interface; API integration with CRM, marketing and other third party systems; FINRA integration; self-service tools; complex hierarchy management; and WORM archiving for SEC 17(a)-4 compliance. The Compliance Control CenterSM also includes a fully customized user compliance dashboard, presenting a clear, comprehensive view of compliance requirements at both company and individual levels. This feature facilitates a full understanding of pending and upcoming compliance obligations, enabling users to prioritize fulfillment in alignment with critical deadlines.

Adam Schaub, VP of Platform Product Management at RegEd, highlights the significant impact of the Compliance Control Center for SMBs: “This platform revolutionizes compliance management for small and medium-sized broker-dealers. It enhances contextual decision-making, especially critical in areas like Advertising Review and Outside Business Activities, by integrating relevant data for a more informed review process. The Control Center’s unified user experience provides access to a complete suite of compliance management tools, simplifying tasks for financial advisors and easing the administrative burden. This is particularly valuable in mitigating challenges associated with compliance staff turnover, thereby ensuring continuous, effective compliance oversight.”

With this launch, RegEd reaffirms its commitment to providing innovative, scalable solutions that address the evolving compliance needs of firms in the financial services sector.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit

CONTACT: Madelyn Matthews [email protected]

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