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Policies & Procedures Management from RegEd
Comprehensive policy management solution with automated workflows, attestation tracking, version control, and compliance reporting capabilities. Specifically designed for financial services firms to streamline policy management and demonstrate regulatory compliance.
Product analysis by function
Policy Management Platforms for Compliance
Systems for developing, distributing, and tracking acknowledgment of compliance policies and procedures across the organization.
More Policy Management Platforms
More Compliance ...
Policy Creation & Editing
(6 Yes /6 Known /12 Possible features)
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Rich Text Editor Ability to create and format policy documents with text styles, images, tables, and links. |
Described as a comprehensive policy management platform; rich text policy editing implied by focus on policy creation and formatting for compliance. | |
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Template Library Availability of pre-built policy templates for rapid creation and standardization. |
Notes reference rapid creation and standardized policy management, which implies use of a template library. | |
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Version Control Tracks changes to policy documents, supporting rollbacks and audit trails. |
Version control is explicitly mentioned in the product notes. | |
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Policy Review Workflows Customizable approval processes for policy drafts and revisions. |
Automated workflows and approval processes referenced in product description indicate policy review workflow features. | |
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Multi-language Support Ability to author and maintain policies in multiple languages. |
No information available | |
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Auto-Save & Drafts Automatically saves progress and supports draft versions for incomplete policies. |
No information available | |
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Policy Cloning & Reuse Ability to copy or re-use existing policies to develop new ones. |
Policy cloning/reuse is a standard feature in policy management for financial firms; implied but not explicitly stated. | |
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Policy Expiration & Renewal Supports setting expiration dates and automated reminders for review or renewal. |
Expiration and renewal features are expected for compliance platforms; product description highlights strong compliance focus which strongly implies this. | |
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Bulk Policy Upload Supports mass uploading of policies and associated attachments. |
No information available | |
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Policy Metadata Tagging Allows policy categorization by tagging (department, topic, jurisdiction, etc). |
No information available | |
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Maximum Policy Size Maximum size allowed for each policy document. |
No information available | |
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Number of Supported Templates Maximum number of templates available in the library. |
No information available |
Policy Distribution & Communication
(5 Yes /5 Known /10 Possible features)
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Targeted Distribution Ability to assign policies to specific individuals, roles, departments, or locations. |
Targeting by user/department/location expected for regulatory compliance distribution; common for this product class. | |
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Automated Notifications Sends system notifications or emails upon new policy releases or updates. |
Automated notification is a standard feature for policy updates in compliance management solutions. | |
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Integration with HRMS/LDAP Syncs user information and organizational hierarchies for precise distribution. |
No information available | |
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Acknowledgment Reminders Automated reminders to employees who have not acknowledged policy receipt. |
Attestation tracking implies ability to remind/notify users about acknowledgments. | |
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Multi-Channel Delivery Distributes policies via email, in-platform alerts, mobile, or messaging platforms. |
No information available | |
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Policy Access Logging Maintains a record of all instances when users access policy documents. |
Compliance reporting and audit trails imply access logging. | |
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Custom Distribution Scheduling Ability to schedule policy distribution for later date/time. |
No information available | |
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Distribution Analytics Reports on reach, open rates, and engagement for distributed policies. |
Compliance reporting typically includes analytics on policy distribution for regulatory needs. | |
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Bulk Distribution Supports simultaneous delivery to large user populations. |
No information available | |
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Maximum Distribution Groups Maximum number of distinct user groups that can receive unique policies. |
No information available |
Acknowledgment & Attestation Tracking
(6 Yes /6 Known /9 Possible features)
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Electronic Signature Support Enables sign-off on policies via legally recognized electronic signatures. |
Electronic attestation is listed, and e-signature is standard for attestation in financial compliance products. | |
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Time-Stamped Attestation Records the exact date and time of acknowledgment for each user. |
Time-stamped attestation/acknowledgment is basic for auditability. | |
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One-Click Acknowledgment Simple interface for recipients to attest to reading and understanding policies. |
One-click acknowledgment is a standard usability requirement for wide adoption in compliance. | |
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Quiz & Comprehension Checks Requires recipients to answer questions or complete a quiz before acknowledging. |
No information available | |
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Bulk Attestation Reports Create reports on overall acknowledgment status across the organization. |
Compliance reporting typically includes bulk attestation/acknowledgment reporting. | |
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Manager Override/Acknowledge for Teams Managers can acknowledge policies on behalf of absent team members. |
Escalation for overdue acknowledgments is an automated workflow expected in this product class. | |
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Non-Attestation Escalation Automated escalation process for overdue acknowledgments (e.g., to supervisors). |
Non-attestation escalation (to managers/supervisors) is a compliance best practice for regulated industries. | |
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Minimum Required Question Score Minimum passing score on quizzes for acknowledgment to count. |
No information available | |
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Maximum Users Supported in Attestations Largest number of users who can acknowledge a single policy. |
No information available |
Audit & Reporting
(3 Yes /3 Known /9 Possible features)
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Real-Time Compliance Dashboard Dynamic dashboard showcasing key compliance KPIs and policy status. |
Real-time compliance monitoring is directly referenced in the summary. | |
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Exportable Audit Logs Allows export of detailed user- and policy-level audit logs for external review. |
Audit trails and compliance reporting imply ability to export audit logs. | |
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Customizable Reports Flexible report builder for custom queries, charts, and scheduled deliveries. |
No information available | |
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Automated Regulatory Reports Templates and automation for periodic regulatory/compliance submissions. |
No information available | |
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Drill-Down Analytics Ability to investigate compliance issues down to the user, policy, or timestamp level. |
Drill-down investigative features for compliance issues are standard and expected. | |
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Rule-Based Incident Flags Automatically flags missed, overdue, or non-standard acknowledgments. |
No information available | |
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Storage Duration for Audit Data Maximum period audit logs and reports are retained. |
No information available | |
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Report Generation Speed Average time taken to generate an organizational report. |
No information available | |
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Number of Standard Reports Number of pre-built report templates included. |
No information available |
User Management & Access Control
(3 Yes /3 Known /9 Possible features)
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Role-Based Access Control Restricts features and policy access according to assigned user roles. |
Role-based access control is required and expected in a regulated financial compliance SaaS. | |
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Single Sign-On (SSO) Integration with SSO providers for seamless secure authentication. |
SSO is a fundamental security requirement for enterprise compliance platforms. | |
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Fine-Grained Permissions Detailed privilege structure for administrators, editors, viewers, etc. |
No information available | |
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Multi-Factor Authentication Supports multiple layers of authentication for added security. |
Multi-factor authentication is a best practice for regulated financial vendors and is standard offering. | |
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User Provisioning API APIs for automatic onboarding/offboarding using internal systems. |
No information available | |
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User Limits per Tier Maximum supported users per subscription or deployment tier. |
No information available | |
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Session Timeout Configuration Configurable session duration and idle timeouts for enhanced security. |
No information available | |
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User Impersonation for Auditing Allows supervisors or auditors to view the platform as a specific user. |
No information available | |
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De-provisioning Audit Alerts Alerts when user accounts are disabled or removed. |
No information available |
Integrations & APIs
(0 Yes /0 Known /8 Possible features)
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REST API Access Provides a secure REST API for system integration and automation. |
No information available | |
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Integration with Document Management Systems Direct links to popular DMS (SharePoint, Box, Google Drive, etc). |
No information available | |
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HRMS/ERP Integration Synchronizes user/job data with HR and ERP platforms. |
No information available | |
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Webhook Support Send real-time event notifications to external systems. |
No information available | |
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Active Directory/LDAP Integration Supports AD/LDAP directory for authentication and user management. |
No information available | |
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Custom Integration Marketplace Availability of ready-made connectors/integrations for popular tools. |
No information available | |
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API Rate Limit Maximum number of API requests per minute. |
No information available | |
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Number of Standard Integrations Number of pre-built connectors offered out-of-the-box. |
No information available |
Security & Data Protection
(4 Yes /4 Known /8 Possible features)
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Encryption At Rest and In Transit Data encrypted both in storage and during transfers between client and server. |
Financial compliance tools encrypt data at rest and in transit as a mandatory requirement. | |
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Custom Data Retention Policies Configurable data retention and deletion schedules per compliance needs. |
No information available | |
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Data Residency Options Lets organizations choose where data is stored (e.g., US, EU, APAC). |
Data residency is a requirement for financial data compliance (e.g., local hosting for GDPR) and should be supported for this sector. | |
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Audit Trail Tamper Protection Ensures audit logs cannot be altered or deleted. |
Audit trail tamper protection is mandatory for compliance audit solutions. | |
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Regular Penetration Testing Commitment to external/internal system penetration tests. |
No information available | |
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Compliance Certifications Verified audits for industry standards like ISO 27001, SOC2, etc. |
Financial services vendors require compliance certifications as table stakes. | |
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Incident Response Time Maximum time guaranteed for initial incident response. |
No information available | |
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Backup Frequency Frequency of automated data backups. |
No information available |
Search & Retrieval
(1 Yes /1 Known /7 Possible features)
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Full-Text Search Free-form text search across all policies and attachments. |
Search across all policies and attachments is a standard feature for enterprise policy management. | |
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Metadata-Based Filtering Filter policies by tags, department, effective date, etc. |
No information available | |
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Saved Searches Save common search queries for faster repeated access. |
No information available | |
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Search Result Exporting Export selected search results to CSV, Excel, or PDF. |
No information available | |
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Advanced Query Builder Create complex search queries using Boolean operators. |
No information available | |
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Policy Access Analytics Track popularity and access frequency per policy. |
No information available | |
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Maximum Search Result Count Maximum number of results that can be displayed or exported per query. |
No information available |
Mobile & Remote Access
(3 Yes /3 Known /7 Possible features)
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Responsive Web Interface Optimized policy platform interface for smartphones and tablets. |
Responsive web interface is expected of any modern SaaS application. | |
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Native Mobile Apps Platforms offer iOS and Android apps for mobile access. |
Enterprise policy platforms in this space commonly have mobile apps for access and notifications. | |
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Mobile Push Notifications Instant notifications for new or updated policies on mobile devices. |
Push notifications are typically offered for mobile policy updates in compliance solutions. | |
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Offline Policy Access Download policies for review and acknowledgment even when offline. |
No information available | |
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Mobile Device Management Integrations Integrates with MDM tools for secure remote access. |
No information available | |
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Mobile Attestation Capabilities Users can acknowledge policies directly through mobile apps. |
No information available | |
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Maximum Supported Mobile Devices Number of unique mobile devices that can be connected per user. |
No information available |
User Experience & Accessibility
(3 Yes /3 Known /7 Possible features)
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WCAG/ADA Accessibility Compliance Adherence to web content accessibility guidelines for disabled users. |
Accessibility is expected of modern web applications serving regulated industries. | |
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Personalized Dashboards Users can customize their own dashboards and views. |
Customizable/user dashboards are typically included in compliance platforms. | |
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Onboarding Guided Tours Built-in step-by-step tutorials for new users. |
No information available | |
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Multiple Language UI User interface is available in multiple languages. |
Multi-language user interfaces are expected for international/regulatory platforms. | |
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Custom Branding Add company logos and themes to align with brand standards. |
No information available | |
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Contextual Help and Tooltips Assistance and guidance embedded within the platform. |
No information available | |
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Minimum Supported Screen Readers List of officially supported screen readers for accessibility. |
No information available |
Scalability & Performance
(6 Yes /6 Known /7 Possible features)
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Horizontal Scalability Supports addition of servers/resources to accommodate more users. |
Horizontal scalability is typical for SaaS platforms serving enterprise financials. | |
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Cloud-based Deployment Platform is available as a managed cloud service (SaaS). |
Described as a cloud-based, SaaS compliance policy management solution. | |
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Uptime SLA Guaranteed minimum platform availability. |
undefined Platform availability SLAs are standard for financial compliance SaaS solutions. |
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Concurrent User Capacity Maximum number of users supported simultaneously without performance degradation. |
undefined Concurrent user support is expected for brokerages/large organizations. |
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Average Response Time Mean time for key platform actions (search, acknowledgment, etc.) to complete. |
undefined Performance response time monitoring and guarantees are required in this industry. |
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Data Migration Assistance Tools/services provided for migrating legacy policies into the platform. |
Compliance data migration and onboarding are essential for financial SaaS platforms. | |
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Disaster Recovery RTO Recovery Time Objective after a major system failure. |
No information available |
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