Duff & Phelps’ RegHub is a flexible compliance administration software tool that allows compliance departments to monitor both the firm’s and their employees’ core compliance obligations and create firm wide certifications and attestations, as necessary.
RegHub also enables firms’ compliance departments to keep compliance documentation and records online, maintain a schedule of their regulatory obligations and carry out monthly compliance monitoring checks.
What you can expect:
- Mitigate reputational risk
- Manage conflicts of interest
- Mitigate employee risk
- Demonstrate a culture of compliance
- Enhance compliance efficiency
- Document archive
- Regulatory horizon scanning
- Senior Managers and Certification Regime (SM&CR) functionality
- Regulatory obligations schedule
- Multiple regulatory jurisdictional requirements
The powerful RegHub technology has numerous capabilities. Firms can track their employees’ main compliance obligations such as the requirement to disclose personal account dealing, gifts and entertainment and outside business interests. It can produce, track and record all employee certifications and attestations. As the year progresses, RegHub allows firms’ compliance departments to view their regulatory obligations schedule, to undertake monthly compliance monitoring checks and to ensure you address regulatory issues as they arise.
The technology includes helpful analytics and reporting which provide valuable insight into patterns, trends and exceptions.
- Personal trading
- Marketing materials
- Gifts and entertainment
- Political contributions
- Outside business interests
- SM&CR functionality
- Monthly compliance checks
- Regulatory horizon
- Regulatory schedule
- Document repository
Employee and compliance monitoring is often manual, time consuming and inefficient. RegHub software enables paperless, automated and streamlined processes to be implemented to produce clear audit trails and records.
To register your interest and schedule a demo please contact RegHub@duffandphelps.com.
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