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Compliance Tools

Our compliance culture is unique. We are continuously comparing our procedures against the changing regulatory environment to simplify, rather than complicate, the compliance process.


To help streamline your practice, we offer the following Compliance tools:

 

RegEd

The Investment Center, Inc. uses RegEd's platform for compliance management.

 

Benefits to you include:

 

  • Streamlined & efficient branch examination process
  • Quick turn-around time
  • Supports paperless environment
  • User-friendly software system

FIS Protegent™

Benefits to you include:

 

Transaction Review

  • Online review and approval of client transactions
  • Interfaces with account management system to produce comprehensive blotters
  • Electronic download of all brokerage/non-brokerage business
  • No need to physically match and initial order tickets and confirmations
  • Electronic retention of trade tickets, confirmations, clearing statements and transaction logs
  • Auto-population of all compliance transaction reports

 

Transaction Review Supervision

  • Web-based application to review brokerage/non-brokerage trades in a paperless environment
  • Enables supervision of all trades processed through Transaction Review
  • Filters transactions through compliance rules
  • Codes transactions with flags to indicate suitability (or non-suitability) for the client
  • Allows transaction communications to be viewed by a branch manager, advisor, regional manager and compliance