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RegEd to Sponsor ACLI Compliance & Legal Sections Annual Meeting

Attendees will also have the opportunity to learn how RegEd enables clients to proactively manage their compliance programs to improve efficiency and reduce risk.

RegEd, the leading provider of compliance technology to the financial services industry, will be a supporting partner sponsor at the upcoming ACLI Compliance & Legal Sections Annual Meeting 2019, held July 15-17 in Fort Lauderdale, FL. RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, consumer complaints, and market conduct examinations:

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.

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

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.

For more information on RegEd or its sponsorship at the ACLI Compliance & Legal Sections Annual Meeting, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Showcase Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2019

Solutions for managing employee code of conduct, regulatory relations and exams, policies and procedures, audits and other core compliance processes will be showcased at the event

Raleigh, NC, May 24, 2019 – RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the American Bankers Association Regulatory Compliance Conference 2019. The event will be held June 9-12 in New Orleans, LA. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus.

“Banks must navigate economic headwinds, regulatory uncertainty and an increasingly unforgiving enforcement environment placing them under pressure to drive operational efficiency and install effective compliance oversight,” commented Debra Freitag, RegEd Chief Strategy Officer. “RegEd has partnered with leading banks to meet critical compliance challenges with bank-purposed solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other integrated, for-purpose solutions for banks:

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

Audit Management: Enables banks to fully plan, schedule, conduct, resolve and report on bank audits. The solution is fully configurable to reflect the bank’s specific organizational hierarchy and business processes.

Employee Code of Conduct Management: Including Gifts and Gratuities, Outside Business Activities, and Personal Securities Accounts. Capture full audit trails of requests, approvals, exceptions, attestations and documentation. 

Policies and Procedures Management: Enables administration and oversight of the bank’s policies and procedures, including approval, distribution, attestation management and testing program management.

Regulatory Relations and Exam Management: Streamline and automate the management of regulatory relations and exams from the receipt of the “first day” letter, across all preparatory activities, through to the final response submitted to the regulator, significantly reducing the time and resource commitment required to support regulatory examinations.

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

The RegEd conference exhibit will be located at booth #212 in the conference’s main exhibitor hall at the Hyatt Regency New Orleans. For more information on RegEd or its attendance at the ABA Regulatory Compliance Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Host NAIC Market Regulation Webinar for Compliance, Legal and Risk Management Professionals in the Insurance Industry

Educational Webinar Delivers Insight on Current Market Regulation Initiatives

Raleigh, NC, May 23, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries will host a webinar “NAIC Update and Important Trends in Insurance Company Market Conduct” on May 30, 2019. The session will be led by Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC). Attendees will include executives and senior managers from Compliance, Legal and Risk Management across the insurance industry.

The webinar will provide attendees with insight into current NAIC Market Regulation initiatives. The evolution of the Market Regulation Handbook will be covered in detail, as well as the Market Regulation Certification. 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 are happy to host this webinar and continue our support of the NAIC. Attendees will benefit from Mr. Helder’s insight surrounding NAIC market regulation objectives and priorities.” Johnson continued, “It is vital that the insurance industry continuously engage with regulators and remain current on evolving market conduct and regulatory initiatives. By doing so, industry participants can better mitigate the risk of being subject to market conduct investigations and examinations.”

Registration for the webinar is open. Please visit here to RSVP for the event.

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 the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Participate in Annual NAIC/NIPR Insurance Summit 2019

RegEd will showcase enterprise solutions for contracting/onboarding, appointment processing and credentialing management at the event

Raleigh, NC, May 22, 2019 – RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will showcase enterprise licensing, appointment and registration solutions at the upcoming Insurance Summit 2019. The event, to be held June 3-7 in Kansas City, is presented jointly by the National Association of Insurance Commissioners (NAIC) and National Insurance Producer Registry (NIPR).

The Insurance Summit combines NAIC and NIPR resources in a premier conference for insurance professionals to explore the future of insurance regulation. The conference will feature more than substantive 100 sessions covering areas such as financial solvency, producer licensing, market conduct and more. During the conference, RegEd representatives will highlight the firm’s innovative enterprise solutions for contracting/onboarding, appointment processing and credentialing management, including:

Alerts 2.0: The industry’s only fully automated licensing data reconciliation and management solution.

Onboarding / Contracting Automation: Eliminates manual oversight of the onboarding / contracting process.

Credentialing Validation: Real-time validations with order entry / trading systems and regulatory and industry gateways.

Smart Appointments: Enables straight-through appointment processing based on the firm’s unique business rules.

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

The RegEd conference exhibit will be located at booth #6 in the conference’s Royal Exhibit Hall at the Kansas City Marriott Downtown. For more information on RegEd or its attendance at the Insurance Summit conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd and IRI Announce Partnership to Deliver Training to Help Industry Professionals Comply With New York Regulation 187

The new course will inform producers of their obligations under the regulation to act in the best interest of clients when recommending annuities or life insurance transactions

Raleigh, NC, May 13, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of Compliance Education and Product Training solutions for the financial services industry, has announced a partnership with the Insured Retirement Institute (IRI) to deliver a course to help meet New York Regulation 187 requirements.

The course, NY Reg 187: Suitability and Best Interest of Clients in Life Insurance and Annuity Transactions, informs producers of their obligations under New York Regulation 187 to act in the best interest of clients when recommending annuities or life insurance transactions. It discusses the process of determining suitability, the problem of conflict of interest, and disclosure to the client of the pros and cons underpinning a recommendation. The course discusses special rules related to replacement transactions and when a senior client is at risk due either to diminished capacity or financial exploitation.

“Producers must be equipped to comply with the new requirements of New York Regulation 187, and effective training in this area is critical to ensuring that the best interests of clients are being served,” commented Brandi Brown, Senior Vice President, Regulatory Affairs at RegEd. “We’re pleased to partner with IRI on this initiative to produce and deliver the course that will be the industry standard in meeting this requirement.”

RegEd delivers more than 1,250,000 CE courses and insurance certificates annually, as part of its Industry Training Platform. Firms rely on RegEd’s regulatory, compliance and education experts for their deep domain expertise and ability to consistently generate timely educational content that enables organizations to effectively adapt to changing requirements.

The course is now available on RegEd’s Industry Training Platform and targets these learning outcomes:

  • Discuss the fiduciary duties of care and loyalty and how these are related to your determination that a proposed sales transaction is suitable for your client;
  • List the situations in which Regulation 187 is applicable to recommendations of life insurance or annuity transactions;
  • Describe the types of client information you are required to collect in order to make a proper recommendation;
  • Explain what is required for a recommendation to be in the best interest of a client and how the analysis applies to both annuities and life insurance;
  • Discuss the special rules that apply to term life insurance and to in-force transaction for which new sales commissions are not paid;
  • Explain the special rules that apply to transactions in which an existing policy or contract is replaced by a new policy or contract;
  • Describe your obligations to protect senior clients in cases of diminished capacity or financial exploitation; and
  • Discuss insurer obligations both to verify that your recommendations are in your clients’ best interest and generally to supervise your adherence to the requirements of Rule 187.

RegEd representatives will be onsite at the IRI ACTION19 conference in Washington, DC, May 15-17. RegEd solution and subject matter experts will demo the new course on Friday, May 17th from 8:00 AM – 8:30 AM in the Continental Room at the Capital Hilton Hotel.

For more information on this new course or the RegEd Industry Training Platform, contact sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

About IRI

The Insured Retirement Institute (IRI) is the leading association for the entire supply chain of insured retirement strategies, including life insurers, asset managers, and distributors such as broker-dealers, banks and marketing organizations. IRI members account for more than 95 percent of annuity assets in the U.S., include the top 10 distributors of annuities ranked by assets under management, and are represented by financial professionals serving millions of Americans. IRI champions retirement security for all through leadership in advocacy, awareness, research, and the advancement of digital solutions within a collaborative industry community.

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FINRA Annual Conference

RegEd to Showcase Enterprise Platform Solution at 2019 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.

Raleigh, NC, May 10, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2019 FINRA Annual Conference in Washington, DC, May 15-17, 2019.

FINRA’s annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today’s evolving industry with interactive forums led by experienced industry veterans and regulators. The conference will offer a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

During the conference RegEd will showcase its comprehensive platform capabilities and enterprise solutions, and discuss how it delivers the highest levels of efficiency, effectiveness and transparency across the enterprise, enabling firms to:

  • Consolidate vendors and applications to reduce complexity and overall cost of ownership.
  • Simplify the end-user experience to drive improved rep and user satisfaction.
  • Install enterprise-level reporting and dashboards for risk analysis to proactively identify negative trends, mitigate risk and demonstrate compliance.
  • Automate data entry, aggregation and reuse to reduce manual processes and human error.

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

The RegEd conference exhibit will be located at booth #13 in the conference’s main exhibitor hall at the Marriot Marquis Washington, DC. For more information on RegEd or its attendance at the FINRA Annual conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

Madelyn Matthews
919-653-5202
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RegEd Hosts Eighth Annual Client Conference in Fort Lauderdale, FL

Sessions united around best practices to tackle pressing challenges in today’s demanding business and regulatory environment

Raleigh, NC, April 15, 2019 – RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted its eighth annual RegEd Compliance Alliance (RCA) Client Conference in Fort Lauderdale, FL on April 8th – 10th, 2019.

The 2019 RegEd Compliance Alliance provided CCOs, Compliance professionals, Licensing and Registration and other operations professionals, with the unique opportunity to build critical knowledge on industry hot topics, engage with regulators on the latest updates and trends, and discuss compliance developments with peers and RegEd subject matter experts.

The conference program included substantive sessions, panel discussion and expert presentations surrounding the industry’s evolving regulatory and compliance concerns. The program addressed topics such as data analytics and AI in the future of compliance, technology as a catalyst for cultural change, cybersecurity, and the state of regulation and managing regulatory change. Sessions provided attendees with the forums, best practices and tools needed to take on everyday challenges and the evolving requirements of compliance in the industry.

For more details about the RegEd Compliance Alliance (RCA) Client Conference or information on RegEd’s compliance management, licensing and registration, and product education solutions, visit www.reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Participate in SIFMA C&L Annual Seminar 2019

Annual Seminar is the premier event for compliance and legal professionals in the financial services industry

Raleigh, NC, March 18, 2019 – RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Annual Seminar in Phoenix, AZ, March 24-27, 2019.

The SIFMA Compliance & Legal Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. The three-day seminar provides a unique opportunity for industry leaders and regulators to gather, network and collaborate. Attendees will benefit from over 60 in-depth breakout sessions and noted keynote speakers, participants will be emerged in the latest industry developments and best practices.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

RegEd SCORE® Risk Control Center: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.

Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.

Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.

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

The RegEd conference exhibit will be located in the conference’s main exhibitor hall at the JW Marriott Phoenix Desert Ridge. For more information on RegEd or its attendance at the SIFMA C&L Annual Seminar, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

RegEd to Participate in ARM Annual Conference 2019

Conference connects attendees with the latest industry trends and Licensing and Registration best practices from subject matter experts and industry regulators

Morrisville, NC, Feb. 27, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the Association of Registration Management, Inc. (ARM) Annual Conference in Amelia Island, FL, March 4-6, 2019.

The ARM Annual Conference is a three-day educational event focused on issues and developments surrounding the registration and licensing functions for the securities and insurance industries. Attendees will benefit from in-depth educational sessions covering topics such as state enforcement trends and updates from FINRA on its CRD functionality and continuing education programs. Presenters and panelists will include senior leaders from Compliance, Education, Registration and Licensing, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

Xchange Enterprise Licensing and Registration: Enables firms to seamlessly execute the complex processing requirements associated with managing and tracking representatives’ licensing, registration and compliance and product education credentials.

OBA Management and Reconciliation: End-to-end OBA tracking and reporting. FINRA integration facilitates online filing and reconciliation of U4 amendments.

Registered Rep Onboarding: Eliminates manual oversight of the onboarding process and speeds time-to-market for new reps.

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 representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss significant developments in licensing and registration technology that can help firms increase efficiency and help to mitigate non-compliance risk. 

The RegEd conference exhibit will be located in the conference’s main exhibitor hall at the Ritz-Carlton Amelia Island. For more information on RegEd or its attendance at the ARM Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

Madelyn Matthews
919-653-5202

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2018 National Society of Compliance Professionals (NSCP) National Conference in Atlanta, GA, on October 29-31, 2018.

Recognized as one of the most comprehensive educational offerings within the securities compliance industry, the NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. This year, the conference agenda will focus on recent regulatory developments and hot-topics such as enforcement trends, cybersecurity, and compliance best practices.

“Regulators are increasingly holding firms accountable for maintaining a holistic program for rigorous rep supervision. At the same time, the war for talent acquisition and retention creates pressure to deliver a seamless rep experience when it comes to compliance,” stated John M. Schobel, CEO & Founder of RegEd. “As a result, we see the industry moving toward a single platform approach that delivers a comprehensive set of tools to manage compliance, automates risk identification and delivers a simplified user experience. We look forward to the chance to meet with attendees and discuss the ways that RegEd enables our clients to manage these challenges.”

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

Advertising Review: Streamlines the end-to-end processes for advertising and customer communication submission, review, collaboration and approval, reducing time to market for marketing and sales initiatives. The solution fully supports SEC 17(a)-4 compliance.

Branch Audits: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Significantly reduces manual and paper-driven processes, creating a seamless and efficient end-to-end process for branch audit reviews.

Conflicts of Interest: 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.

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 #8 in the main exhibit hall of the Omni Atlanta Hotel. For more information on RegEd or its attendance at the 2018 NSCP National Conference, please call 800-334-8322 or email sales@reged.com.

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