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About

The industry’s most comprehensive compliance management platform, trusted by more than 80% of top financial services firms. The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners. Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more. Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures. The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.

About

Our advanced compliance software solutions serve both complex compliance organizations and small RIA compliance teams. The SmartRIA platform is designed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them. SmartRIA helps firms like yours thrive. SmartRIA compliance solutions were designed and developed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them. Imagine starting your week with a bird’s eye view of your entire firm’s compliance calendar on a simple-to-use dashboard that can be learned in a day with technology that actually improves your processes.

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Audience

Financial services firms interested in a powerful compliance management platform

Audience

Companies searching for a solution to manage and improve their compliance

Support

Phone Support Not Supported
24/7 Live Support Not Supported
Online Supported

Support

Phone Support Supported
24/7 Live Support Not Supported
Online Supported

API

Offers API Not Supported

API

Offers API Not Supported

Screenshots and Videos

Screenshots and Videos

Pricing

No information available.
Free Version Not Supported
Free Trial Not Supported

Pricing

No information available.
Free Version Not Supported
Free Trial Not Supported

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Training

Documentation Supported
Webinars Not Supported
Live Online Not Supported
In Person Not Supported

Training

Documentation Supported
Webinars Supported
Live Online Supported
In Person Not Supported

Company Information

RegEd
Founded: 1994
United States
www.reged.com

Company Information

Smart RIA
Founded: 2011
United States
www.smart-ria.com

Alternatives

Predict360

Predict360

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Alternatives

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WealthERP

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SIMON

SIMON

SIMON Markets
 Compliance Star

Compliance Star

Thistle Initiatives
BITA Risk

BITA Risk

corfinancial
Compliance Aspekte

Compliance Aspekte

expertree consulting GmbH

Categories

Categories

Compliance Supported

Compliance Features

Archiving & Retention Supported
Artificial Intelligence (AI) Not Supported
Audit Management Supported
Compliance Tracking Not Supported
Controls Testing Not Supported
Environmental Compliance Not Supported
FDA Compliance Not Supported
HIPAA Compliance Not Supported
Incident Management Not Supported
ISO Compliance Not Supported
OSHA Compliance Not Supported
Risk Management Supported
Sarbanes-Oxley Compliance Not Supported
Surveys & Feedback Not Supported
Version Control Not Supported
Workflow / Process Automation Not Supported

Integrations

No info available.

Integrations

No info available.
Claim RegEd and update features and information
Claim RegEd and update features and information
Claim Smart RIA and update features and information
Claim Smart RIA and update features and information