All-in-one solution centralizes and automates compliance across key regulatory obligations, enabling greater efficiency and risk mitigation for RIAs
Raleigh, NC, May 19, 2025 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance and credentialing solutions for the financial services industry, has announced the launch of the RIA Compliance Control CenterSM, a purpose-built solution that enables registered investment advisers (RIAs) to streamline supervision and enhance oversight across the full spectrum of compliance activities.
With increasing regulatory complexity and resource constraints, RIAs face mounting pressure to manage compliance obligations more efficiently while maintaining rigorous oversight. RegEd’s RIA Compliance Control Center empowers firms to meet these challenges head-on with a centralized, automated platform that delivers powerful capabilities to support compliance with SEC and state regulations.
“Registered investment advisers need tools that not only ensure compliance, but also scale with their business,” said Adam Schaub, VP, Platform Product Management at RegEd. “The RIA Compliance Control Center delivers the automation, integration, and visibility firms need to simplify oversight, reduce risk, and keep pace with a fast-evolving regulatory environment.”
The RIA Compliance Control Center is available in modular or bundled formats and includes robust capabilities such as:
- Personal Trade Monitoring and Pre-Clearance – Automate trade surveillance, with direct feeds from leading brokerage firms.
- Form ADV Part 2B Supplement Management – Ensure always-current, compliant disclosures with automated data population.
- Gifts, Gratuities & Contributions – Manage approval workflows and reporting with centralized tracking.
- Outside Business Activities – Streamline OBA submissions, attestations, and disclosures.
- IAR Continuing Education (IAR CE) – Access RegEd’s industry-leading CE catalog with intuitive dashboards for IARs and compliance teams.
- Advertising Review – Leverage AI-powered tools to review marketing materials and accelerate compliance with the SEC Marketing Rule.
- Licensing, Registration & Onboarding – Automate key workflows and maintain compliance throughout the IAR lifecycle.
The RIA Compliance Control Center also features advanced capabilities such as a unified compliance dashboard, WORM archiving, customizable questionnaires, advanced hierarchy management, and seamless integration with CRM and marketing systems through open APIs.
By delivering a holistic view of compliance status, both at the firm and individual level, the RIA Compliance Control Center helps advisers prioritize critical obligations, ensure timely fulfillment, and reduce manual effort.
For more information about the RIA Compliance Control Center, visit www.reged.com to request a free consultation or demonstration.
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients that represent more than 35 of the top 50 insurance companies.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.
CONTACT: Madelyn Matthews madelyn.matthews@reged.com
