Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

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 

Screenshots View All

Screenshots View All

Integrations

Obello Yes 

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 

Alternatives

Alternatives

Predict360 Reviews

Predict360

360factors
Dot Compliance QMS Reviews

Dot Compliance QMS

QMS for Life Sciences
Compliance Aspekte Reviews

Compliance Aspekte

expertree consulting GmbH
Predict360 Reviews

Predict360

360factors
 Compliance Star Reviews

Compliance Star

Thistle Initiatives