Developed by our experienced senior compliance experts, RegteQ® empowers our clients to digitally integrate their compliance programme across their entire firm through a single, user-friendly and auditable integrated online compliance solution.
Functionality
Designed to enhance the efficiency and effectiveness of compliance tasks, RegteQ® offers the following solutions:
- Monitoring: The Monitoring module facilitates our ongoing FCA, SEC and CFTC/NFA compliance programmes through a unique multi-flow process between our consultants and clients, that streamlines the compliance monitoring process, the production of monitoring reports and ongoing analytics of regulatory compliance requirements.
- Vault: The Vault module houses over 60 proprietary date-stamped compliance base-template documents that we provide our clients, bespoke to their specific regulatory requirements, as the basis from which to collaboratively personalise their specific compliance templates, relevant to the nuances of their firm. These client-specific templates are then also housed within the Vault for easy centralised access for relevant employees across the firm.
- Submissions: The Submissions module empowers employees to submit Requests, Declarations and Attestation for acknowledgement and/or approval by a firm’s compliance lead/s. The module includes forms relating to personal account dealing, gifts and benefits, outside business activities, financial promotions approval, compliance attestations and SEC Code of Ethics attestations, among others. It also includes an auditable register of all historical submissions for ease of reference by the firm’s compliance lead/s, executive management and other stakeholders.
- e-Learning: The e-Learning module integrates seamlessly with our industry-leading CPD-certified e-Learning system, offering over 20 online training courses across the topics of SMCR (Senior Managers & Certification Regime), FCA Compliance Anti-Money Laundering, Market Abuse, Anti-Bribery and Cyber Security.
- Calendar: The in-built calendar facilitates the tracking of compliance related events and deadlines.
RegteQ® also includes a Monthly Reporting Dashboard for our Regulatory Hosting clients operating as Appointed Representatives on our Advisory Platform. Integrated with the Submissions module, the ‘RQA Dashboard’ delivers an easy and intuitive process for transparent and auditable monthly reporting by our Appointed Representatives.
Once logged in via multi-factor authentication, access to all areas of RegteQ® is strictly and securely controlled based on the level of user profile, ensuring that sensitive documentation is exclusively restricted to those employees in your firm who should have sight of them. Targeted email notifications are sent to users when there is activity on their firm’s account requiring their attention, to timeously advise them of actions required.
Accessibility
RegteQ® is provided as a complimentary service to all our ongoing Compliance Consulting clients and our Regulatory Hosting clients, to streamline their compliance programme.
