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Exchanges Pro

  • Updated

Overview

This guide explains what REG Exchanges Pro is, the challenges it helps solve, and how it enables you to capture, manage, and analyse information from your partners directly within the REG Network.

As regulatory requirements continue to increase, businesses are expected to collect more information from their distribution partners. REG Exchanges Pro helps streamline this process by allowing you to create structured forms, send them to partners, and analyse the responses efficiently.

Why Exchanges Pro?

Businesses are required to collect an increasing amount of information from partners and brokers.

This may include:

  • Agency application information

  • Fair value and product governance data

  • Consumer Duty information

  • Conduct risk management information (MI)

  • Environmental, Social and Governance (ESG) data

  • Other regulatory or compliance reporting

Traditionally, this information is collected via email using Word documents, PDFs, or spreadsheets. Responses are often returned in multiple formats, making it difficult to analyse the data.

REG Exchanges Pro allows you to standardise this process within the REG Network, ensuring information is captured in a structured format.

Creating Templates to Capture Data

Templates allow you to create structured forms that partners can complete when responding to a document exchange.

Create a New Template

  1. Log in to the REG Network.

  2. Select the Menu icon (three horizontal lines) in the top-left corner.

  3. Click Exchanges.

  4. Select Templates.

  5. Click Create Template.

  6. Upload a Word document template.

  7. Give the template a Name.

You can now add fields to capture responses.

Adding Form Fields

Form fields allow recipients to provide responses directly within the document.

To add form fields

  1. Open your uploaded template in the editor.

  2. Select the location in the document where the response should be captured.

     

     

  3. Insert the appropriate form field type, such as:

  • Text form field ( )

  • Drop-down list form field ( )

  • Check box form field ( )

  1. Assign a name to the field .

Naming fields is important because these field names will be used later when exporting responses for analysis. meantime

Using Chains to Reach Distribution Partners

REG Exchanges Pro includes a feature called Chains, which allows Exchanges to be forwarded further down the distribution chain.

This helps businesses collect information not only from direct partners, but also from:

  • Sub-brokers

  • Introducers

  • Other partners involved in the distribution chain

To enable Chains

When creating a new exchange:

  1. Go to the New Exchange screen.

  2. Enable the Chains toggle.

  3. Continue setting up the Exchange as normal.

Recipients will then have the ability to forward the Exchange to their own contacts, allowing responses to be captured from additional businesses in the distribution chain.

Tracking Exchange Progress

You can monitor the status of Exchanges at any time.

To view sent exchanges

  1. Select the Menu icon.

  2. Click Exchanges.

  3. Select Sent.

From here, you can view:

  • Exchange status

  • Message

  • Expiry date

  • Reminder date

  • Response progress

  • Actions -  

  • Expiry dates

  • Recipients

  • Completed documents

Viewing Chain Activity

If Chains are enabled, you can see how far the exchange has progressed through the distribution chain.

To view chain activity

  1. Open the relevant Exchange from the Sent Exchanges page.

  2. Select View whole chain

Here you can see:

  • Which recipients have forwarded the Exchange

  • Which businesses have completed it

  • The total number of forwards and responses

Exporting Responses for Analysis

One of the key benefits of REG Exchanges Pro is the ability to analyse responses quickly.

To export responses

  1. Open the relevant Exchange.

  2. Go to Completed Documents.

  3. Select Extract Form Replies.

  4. Download the generated Excel file.

The spreadsheet will contain all responses submitted through the form fields you created in the template.

This allows you to:

  • Analyse responses across multiple partners

  • Generate management information (MI)

  • Identify trends or compliance risks

Summary

REG Exchanges Pro helps streamline regulatory data collection by allowing you to:

  • Create structured templates and forms

  • Send exchanges securely through the REG Network

  • Collect responses in a consistent format

  • Track activity across distribution chains

  • Export responses for analysis and reporting

By managing document exchanges within REG, businesses can significantly reduce manual administration and improve visibility across their partner network.

Need More Help?

If you experience any issues creating or issuing templates, visit the Knowledge Hub or contact Support for further assistance.