RegEd Hosts NAIC Market Regulation Update and Market Conduct Exam Best Practices Webinar for Compliance Legal and Risk Management Professionals in the Insurance Industry

RegEd Hosts NAIC Market Regulation Update and Market Conduct Exam Best Practices Webinar for Compliance, Legal and Risk Management Professionals in the Insurance Industry

RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries, presented the webinar, "NAIC Market Regulation Update and Market Conduct Exam Best Practices" on October 26, 2017. The session featured Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC), and RegEd regulatory and technology subject matter experts. Attendees included executives and senior managers from Compliance, Legal and Risk Management across the insurance industry.

The webinar provided attendees with insight into select NAIC working groups, including the Market Conduct Examination Standards Working Group and the evolution of the Market Regulation Handbook. The discussion included the Market Actions Working Group and their review and analysis of market regulation issues of national impact. In addition, the webinar focused on the Market Conduct Annual Statement (MCAS) as a catalyst for market conduct examinations. Merlinda Johnson, Director of Insurance Regulatory Compliance at RegEd, stated, "We were happy to host this webinar. Attendees benefitted from Mr. Helder’s insight surrounding NAIC market regulation objectives and priorities.” Johnson continued, “It is imperative that the insurance industry continuously engage with the regulators and remain current on evolving market conduct best practices. By doing so, companies can mitigate the risk of being subject to increased market conduct investigations and examinations.”

Mark Pfeifer, CODE Enterprise Solutions Product Strategy and Business Development leader at RegEd commented, "consumer and regulator expectations, as well as their use of technology, are outpacing the technology insurers use for market conduct exams. Firms need to at least be thinking about for-purpose exam technology; something that puts them in a ready posture before an exam starts, and ideally helps them avoid an exam."

For more information regarding RegEd's Enterprise Compliance Management Solutions for Insurance Companies, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, please visit www.reged.com.

About NAIC

The National Association of Insurance Commissioners (NAIC) is the U.S. standard-setting and regulatory support organization created and governed by the chief insurance regulators from the 50 states, the District of Columbia and five U.S. territories. Through the NAIC, state insurance regulators establish standards and best practices, conduct peer review, and coordinate their regulatory oversight. NAIC staff supports these efforts and represents the collective views of state regulators domestically and internationally. NAIC members, together with the central resources of the NAIC, form the national system of state-based insurance regulation in the U.S.

RegEd Leading Provider of Compliance Technology Solutions to Participate in 2017 NSCP National Conference

RegEd, Leading Provider of Compliance Technology Solutions, to Participate in 2017 NSCP National Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2017 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-18, 2017.

The NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. The conference agenda will focus on new regulatory developments, enforcement trends, regulatory examinations, compliance best practices and the practical implementation of compliance policies and procedures.

“We’re in an increasingly complex regulatory climate with rigorous regulator expectations. As a result, we see the industry moving toward the consolidation of multiple applications to a single platform that provides workflow-managed processes, automatic risk identification, trending and a seamless user experience,” stated John M. Schobel, CEO & Founder of RegEd. “Every year we look forward to the NSCP conference – in addition to the superb conference program, it’s a great opportunity to meet with attendees to discuss the trends we’re seeing and how RegEd has helped hundreds of firms seamlessly manage compliance, conflicts-of-interest, onboarding and licensing and registration processes, while accommodating our clients’ business needs as they evolve.”

RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions:

Conflicts of Interest Management: Integrated solutions that enable firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population. Includes expanded, industry-leading capabilities to manage Gifts, Gratuities & Contributions.

Onboarding, Licensing and Registration: Unified solution is powered by an extensive compliance rules engine, and enables firms to seamlessly manage and track representatives’ licensing and registration, compliance and education requirements. Data-reuse, automatic validations, and complex hierarchy management simplify onboarding across distribution channels.

Written Supervisory Procedures: Automated distribution of policies and attestation to employees, as well as notifications to Compliance of polices impacted by notices, bulletins and rule changes by FINRA, SEC, MSRB and other securities regulators.

RegEd SCORE® Risk Control Center: Configurable compliance dashboards deliver clear, comprehensive views into the status of compliance requirements at the company level or specific to the individual.

RegEd is exhibiting at the conference and can be located at Booth #37 in the main exhibit hall of the Omni Shoreham Hotel. For more information on RegEd or its attendance at the 2017 NSCP National Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Features Solutions for Managing Regulatory Change Policies and Procedures Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd Features Solutions for Managing Regulatory Change, Policies and Procedures, Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers, banks and other financial services firms, is pleased to announce its participation in the NAFCU Annual Regulatory Compliance Seminar 2017, which was held in San Diego, CA, October 10-13, 2017.

The NAFCU Regulatory Compliance Seminar brings together CEOs, CFOs, and compliance and operations professionals for a program that discusses industry hot topics, regulatory updates and proposed regulations. The conference program is tailored to provide an understanding of how to conquer the latest challenges in credit union compliance. This year’s program included sessions such as: New TRID Amendments, Current Litigation Risks for Credit Unions, Social Media and Advertising Risks, Complaint Tracking and Management, HMDA and Fair Lending – Preparing for your Examinations, and Compliance and Cybersecurity.

“Credit unions are subject to a regulatory framework that has, in many instances, been designed for banks and other financial services firms that have greater capacity to absorb the demand of an increasing compliance burden,” stated Debra Freitag, Chief Strategy Officer at RegEd. “Speaking with attendees during the seminar confirmed that this challenge is top of mind. There is a need for compliance solutions that enable credit unions’ existing operations to be more efficient and able to scale to meet compliance requirements without increasing staff.”

During the seminar RegEd showcased a suite of enterprise compliance management solutions that enable credit unions to efficiently manage their compliance program:

Branch Audit Management: Fully plan, schedule, conduct, resolve and report on credit union branch audits; configured to reflect unique organizational hierarchy and business processes.

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides institutions with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Consumer Complaint Management: Systematically capture, track and manage the resolution of consumer complaints.

Policies and Procedures Management: Provides an enterprise workflow and task management solution that enables end-to-end management and oversight of policies and procedures, including approval, distribution, attestation and testing program management.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, please visit www.reged.com.

RegEd to Feature Enterprise Solutions for Managing Regulatory Change Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd to Feature Enterprise Solutions for Managing Regulatory Change, Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2017 in Seattle, WA, October 1-4, 2017.

The 30th AICP Annual Conference will host over 400 insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer more than 60 educational sessions including the evolving regulatory environment, cybersecurity, market conduct, ethics, and the future of technology in compliance roles. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase the CODE® Enterprise Compliance Management Platform. CODE supports an integrated suite of compliance management solutions, including:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

Consumer Complaint Management: Systematically capture, track and manage the resolution of consumer complaints.

“Effective Consumer Complaint and Market Conduct Exam Management are critically interconnected cornerstones of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Insurers must manage them holistically, to mitigate the risk of inviting increased exams, while minimizing the negative impact of exams that occur, through comprehensive audit trails and methodical documentation of compliance.”

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable insurers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #20 in the conference’s main exhibitor hall at the Sheraton Seattle Hotel. For more information on RegEd or its attendance at the AICP Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, please visit www.reged.com.

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the American Counsel for Life Insurers (ACLI) Annual Conference 2017 in Orlando, FL, October 8-10, 2017.

The conference brings together senior executives from life insurance and financial services companies to examine today's business and political issues. The program features general sessions with industry-expert speakers and over 20 breakout sessions addressing legal, investment/financial, reinsurance, compliance, retirement security, advocacy, and legislative and regulatory issues. Also in attendance will be senior representatives from associated industries and financial services associations.

“An extended period of low interest rates coupled with an increasingly complex regulatory environment is driving life insurers to implement for-purpose compliance technology to reduce operational costs and strengthen their compliance posture with regulators,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Scores of RegEd clients have implemented our insurance compliance platform and solutions, to greatly reduce the cost and risk associated with managing the high volume of regulatory change they are subject to. Our clients, including the nation’s largest life insurers, tell us that they can ‘sleep at night’ knowing that technology has enabled them to eliminate compliance gaps and capture audit trails critical to demonstrating compliance.”

RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, market conduct examinations and advertising review. These solutions enable insurers to effectively and efficiently meet compliance obligations and proactively manage their compliance program:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables insurers to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

Advertising Review Management: Streamlines the end-to-end process for advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, please visit www.reged.com.

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