RegteQ® is RQC Group’s online, user-friendly and auditable RegTech platform.
Our experienced senior compliance experts developed RegteQ® so that our clients can digitally integrate their compliance programme across their entire firm. To streamline their compliance programmes, we provide RegteQ® complimentary to all our ongoing Compliance Consulting clients and Regulatory Hosting clients.
We designed RegteQ® to boost your firm’s efficiency and effectiveness in handling compliance tasks.
Here are RegteQ®’s key features:
RegteQ®’s Monitoring module creates a unique multi-flow process between you - our client - and our consultants. It facilitates your FCA, SEC and CFTC/NFA compliance programmes by streamlining the compliance monitoring process, the production of monitoring reports and the ongoing analysis of regulatory compliance requirements.
RegteQ®’s Vault module houses up to 80 date-stamped compliance templates, tailored to your regulatory requirements. Together we will further personalise them to suit your firm. Your assigned employees can use the Vault to access the documents they need.
RegteQ®’s Submissions module allows your employees to submit forms and documents to your firm’s compliance lead for acknowledgement or approval. The module includes forms relating to personal account dealing, gifts and benefits, outside business activities, financial promotions approval, compliance attestations and SEC Code of Ethics attestations, amongst others. For ease of reference, it creates an auditable register of all submissions. Within this module, our investment advisory Regulatory Hosting clients operating as Appointed Representatives also benefit from RegteQ®’s Monthly Reporting Dashboard, giving them an easy and intuitive way to generate auditable monthly reporting.
Through RegteQ®’s in-built calendar you can track compliance-related events and deadlines.
Logging in to your RegteQ® platform requires multi-factor authentication. Secure user profile controls ensure that only approved employees can access sensitive documentation. Users receive targeted email notifications of any activity that requires their attention, to ensure it is dealt with in a timely manner.
You will have heard of FinTech (‘financial technology’): the application of technology to products and services in the financial sector. RegTech stands for ‘regulatory technology’. It harnesses innovative technology to manage regulatory processes in the financial sector, supporting businesses by streamlining their compliance, regulatory monitoring and reporting tasks.
Traditional compliance methods rely heavily on manual processes, which are time-consuming and error-prone. RegTech emerged in the aftermath of the 2008 financial crisis, when the need for more efficient compliance solutions became apparent. Initially, RegTech focused on automating simple tasks, but sophisticated RegTech platforms such as RQC Group’s RegteQ® now offer solutions for managing all aspects of regulatory compliance.
As you know, the financial industry is subject to stringent regulations, designed to ensure market integrity, protect investors and prevent financial crimes. Non-compliance can result in hefty fines and severe reputational damage. RegTech platforms such as RQC Group’s RegteQ® take a proactive approach to compliance, easing your navigation through complex regulatory landscapes by automating compliance tasks, reducing errors and providing real-time regulatory monitoring.
Current trends in RegTech include predictive analytics, improved interoperability between systems, and greater transparency in regulatory reporting. Collaboration between regulatory bodies and technology providers is also on the rise, fostering innovation and efficiency.
RegteQ® automates compliance management, from documentation to real-time monitoring. This ensures your firm adheres to regulations without manual intervention, reducing the risk of human error. It provides easy, centralised access to all your compliance documentation.
RegteQ® generates comprehensive reports that meet regulatory standards, providing continuous monitoring to ensure the ongoing compliance of your business. It also offers real-time monitoring capabilities, allowing you to detect and address compliance issues immediately.
Yes. By streamlining your firm’s compliance processes, RegteQ® significantly reduces the time and resources you need to manage regulatory requirements, leading to substantial cost savings. RegteQ® is both scalable and flexible as your business grows.
Ariel House
74A Charlotte Street
London, W1T 4QJ
401 Park Avenue S
Suite 1014
New York, NY 10016
© Robert Quinn Consulting Limited t/a RQC Group 2022, all rights reserved.
