Average Ratings 0 Ratings
Average Ratings 0 Ratings
Description
Compliance Star is an innovative compliance software solution designed for on-demand use, providing essential tools for effective risk management and monitoring. It enables efficient remote oversight of FCA Authorised Firms along with their associated Units and Agents, thanks to its real-time data gathering and reporting capabilities. This technology-driven compliance platform streamlines management, workflow, and oversight of firms regulated by the Financial Conduct Authority (FCA). A key feature of Compliance Star is its robust, calendar-based task management system, which supports both automatic and manual task assignments, sends notifications for necessary actions, integrates deadlines into a calendar, issues reminders, and tracks task completion status. By significantly alleviating the compliance workload, this platform is currently leveraged by top regulatory networks. Furthermore, it allows for comprehensive tracking of internal regulatory procedures and delivers a centralized access point for up-to-date data, along with the functionality to generate reports required by the FCA. Consequently, Compliance Star enhances operational efficiency and ensures regulatory adherence for its users.
Description
RegEd offers the most extensive compliance management platform in the financial services sector, with over 80% of the leading firms relying on its capabilities. This singular solution effectively oversees the entire process of onboarding agents and advisors while ensuring compliance, providing a streamlined experience along with “clear to sell” notifications for distribution partners. It allows for efficient handling of regulations from various authorities, including FINRA, SEC, and state DOI, covering essential areas such as Advertising Review, Conflicts of Interest, and Branch Audits. Additionally, it encompasses all necessary aspects of compliance awareness, adaptability to regulatory shifts, and alignment with your firm’s policies and procedures. As a premier provider of Compliance Education, Product Training, and Annual Compliance Programs, RegEd facilitates over one million Continuing Education courses and insurance certifications annually, ensuring that professionals stay informed and compliant in a dynamic regulatory environment. This comprehensive approach not only enhances compliance but also empowers firms to maintain a competitive edge.
API Access
Has API
No
API Access
Has API
No
Integrations
Obello
No
Pricing Details
£60 per month
12 month contract
Free Trial
No
Free Version
No
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
Yes
Customer Support
Business Hours
No
Live Rep (24/7)
No
Online Support
Yes
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
Yes
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
No
In Person
No
Vendor Details
Company Name
Thistle Initiatives
Founded
2012
Country
United Kingdom
Website
compliancestar.co.uk
Vendor Details
Company Name
RegEd
Founded
1994
Country
United States
Website
www.reged.com
Product Features
Audit
Alerts / Notifications
Yes
Audit Planning
Yes
Compliance Management
Yes
Dashboard
Yes
Exceptions Management
No
Forms Management
Yes
Issue Management
No
Mobile Access
Yes
Multi-Year Planning
No
Risk Assessment
Yes
Workflow Management
Yes
Complaint Management
Case Management
Yes
Complaint Classification
Yes
Corrective Actions (CAPA)
Yes
Customer Complaint Tracking
Yes
Feedback Management
Yes
Forms Management
Yes
Issue Tracking
Yes
Quality Assurance Management
Yes
Routing
No
Self Service Portal
No
Social Media Monitoring
No
Survey Management
No
Compliance
Archiving & Retention
Yes
Artificial Intelligence (AI)
No
Audit Management
Yes
Compliance Tracking
Yes
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
Yes
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
Yes
Workflow / Process Automation
Yes
Task Management
Collaboration
No
Create Subtasks
No
Gamification
No
Gantt Charts
No
Mobile Access
Yes
Percent-Complete Tracking
No
Progress Tracking
No
Recurring Tasks
Yes
Reporting/Analytics
Yes
Spreadsheet View
Yes
Task Board View
Yes
Task Planning
No
Task Scheduling
No
Task Tracking
No
Time Tracking
No
To-Do List View
Yes
Workflow Management
Access Controls/Permissions
Yes
Approval Process Control
No
Business Process Automation
Yes
Calendar Management
Yes
Compliance Tracking
Yes
Configurable Workflow
No
Customizable Dashboard
No
Document Management
Yes
Forms Management
Yes
Graphical Workflow Editor
No
Mobile Access
Yes
No-Code
No
Task Management
Yes
Third Party Integrations
No
Workflow Configuration
Yes
Product Features
Complaint Management
Case Management
No
Complaint Classification
No
Corrective Actions (CAPA)
No
Customer Complaint Tracking
No
Feedback Management
No
Forms Management
No
Issue Tracking
No
Quality Assurance Management
No
Routing
No
Self Service Portal
No
Social Media Monitoring
No
Survey Management
No
Compliance
Archiving & Retention
No
Artificial Intelligence (AI)
No
Audit Management
No
Compliance Tracking
No
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
No
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No
Compliance Training
Multiple Locations / Departments
No
Online / Self-Paced
No
Anti-Bribery Training
No
Certification Management
No
Conflicts of Interest Training
No
Content Builder
No
Customer Service Standards
No
Customizable Branding
No
Diversity Training
No
Fair Disclosure
No
Federal / State Regulation Compliance
No
Gamification
No
Harassment / Discrimination Training
No
Industry-Specific Courses
No
Instructor-Led Training
No
Interactive Quizzes
No
Progress Tracking
No
Reporting / Analytics
No
Role-Specific Versions
No
Security / Privacy Training
No
Text / Email Reminders
No
Workplace Safety
No