The only for-purpose technology solution to seamlessly manage the request, approval and reconciliation process while simplifying the user experience for employees and supervised persons RegEd, the leading provider of compliance technology solutions for the financial services industry, has released an all-new enterprise solution to address the multitude of requirements associated with gifts, gratuities and contributions management. Gifts, Gratuities and Contributions Management (GGC) leverages RegEd’s powerful platform capabilities to enable comprehensive monitoring, workflow-directed task management, real-time alerts to exceptions, and sophisticated hierarchy management to enable firms to drive efficiency throughout the end-to-end tracking of gifts, entertainment, non-cash compensation and political contributions. “The SEC, […]
Continue readingMore TagAuthor: Madelyn Matthews
Madelyn Matthews is the Sr. Marketing Specialist at RegEd.
A Statement From the RegEd Executive Team
A Statement From the RegEd Executive Team There are times when we must make clear what values we hold and state them clearly, and we feel strongly that this is one of those times. Remaining silent is not an option. RegEd has always stood for diversity, inclusion and equal opportunity for all. Intolerance and discrimination have never had a place in our organization or in our communities. We stand with our colleagues and our communities who are hurting right now and have been hurt for centuries, with those who have been murdered, oppressed, or marginalized because of the color of […]
Continue readingMore TagRegEd Announces Expansion of Enterprise Compliance Platform with Gifts, Gratuities and Contributions Management
The all-new enterprise solution is the industry’s only for-purpose technology for the submission, approval, tracking and reconciliation of gifts, entertainment, non-cash compensation and political contributions. RegEd, the leading provider of compliance technology solutions for the financial services industry, has announced the expansion of its Enterprise Compliance Management platform to address the multitude of requirements associated with gifts, gratuities and contributions management. Gifts, Gratuities and Contributions Management (GGC) leverages RegEd’s powerful platform capabilities to enable comprehensive monitoring, workflow-directed task management, real-time alerts to exceptions, and sophisticated hierarchy management to enable firms to drive efficiency throughout the end-to-end tracking of gifts, entertainment, non-cash compensation […]
Continue readingMore TagRegEd Announces COVID-19 Resource Center
The site will support industry firms’ ability to manage the influx of new regulatory activity resulting from the COVID-19 pandemic. RegEd, the leading provider of compliance technology solutions to the financial services industry, today announced that it has established the RegEd COVID-19 Resource Center, which aggregates regulatory activity impacting the financial services industry, related to the scope of regulations that RegEd products and services cover. “At RegEd, nothing is more important than the health and well-being of our clients, employees, and our community. We’re committed to providing the support and resources to navigate this challenging time and support them in […]
Continue readingMore TagSEC and FINRA Exam Priorities to Include Firms’ AML Compliance Programs, Including Policies and Procedures
SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2020. According to the document, OCIE will assess the adequacy of firms’ AML compliance programs, including relevant policies and procedures. AML Compliance was also cited by FINRA as an area of focus in its recent 2020 Risk Monitoring and Examination Priorities Letter. “The Bank Secrecy Act requires financial institutions, including broker-dealers and investment companies, to establish anti-money laundering (AML) programs. These programs must, among other things, include policies and procedures reasonably designed to identify and verify the identity of customers and beneficial owners of legal entity customers…Given the importance […]
Continue readingMore TagRegEd Leaders Elected to Positions at the SILA Foundation and SILA Education and Training Subgroup (SETS)
RegEd, the leading provider of compliance technology solutions to the financial services industry, today announced that members of its Regulatory Affairs Group have been elected to serve in positions at the SILA Foundation and SILA Education and Training Subgroup (SETS). Susan Boles, RegEd Senior Regulatory Compliance Analyst, has been elected to the SILA Foundation Board of Trustees as the new Scholarships & Grants Trustee Member. As the new Scholarships & Grants Trustee Member, Susan will oversee all of the scholarship programs and grants that SILA issues. Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, is now Co-Chair of the […]
Continue readingMore TagFINRA Priorities Letter Highlights Customer Communications as the Subject of Heightened Focus for 2020
FINRA’s 2020 Risk Monitoring and Examination Priorities Letter serves to document areas of emphasis for the coming year, which firms may consider for opportunities to improve their compliance and supervisory programs. Among the highlights in the 2020 letter is an emphasis on firms’ compliance with obligations relating to FINRA Rule 2210 (Communications with the Public), including their marketing, advertising and sales materials. “FINRA will review how firms review, approve, supervise and distribute retail communications regarding private placement securities via online distribution platforms, as well as traditional channels.”– FINRA 2020 Risk Monitoring and Examination Priorities Letter Learn how leading firms partner with RegEd […]
Continue readingMore TagSEC’s 2020 Examination Priorities Demonstrate a Continued Focus on Conflicts of Interest, Including Outside Business Activities
SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2020. According to the report, OCIE will continue its focus on the protection of retail investors, including seniors and those saving for retirement. Examinations in these areas will include reviews of disclosures relating to fees, expenses, and conflicts of interest. “Registered firms must effectively implement controls and systems to ensure disclosures are made as required and that a firm’s actions match those disclosures… Examinations will relatedly focus on registered firms’ disclosures and supervision of outside business activities of its employees and associated persons, and any conflicts that may […]
Continue readingMore TagRegEd Appoints Derrick D. Cobey as Chief Technology Officer
Technology strategist and product development veteran to drive the continued advancement of RegEd’s enterprise compliance and credentialing solutions. RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Derrick D. Cobey to the role of Chief Technology Officer (CTO). In this role, Cobey will direct RegEd’s technology strategy and drive continuous innovation across RegEd’s broad compliance and credentialing solutions portfolio. “As client expectations for technology-enabled efficiency continue to evolve, a chief technology officer that is an innovation agent with highly disciplined execution is critical to our continued […]
Continue readingMore TagRegEd CEO and Founder to be a Featured Presenter at FSI OneVoice 2020
John M. Schobel will present on the topic of driving efficiency and effectiveness in branch exams and field audits. RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Diego, CA, January 27-29, 2020. RegEd Founder and CEO, John M. Schobel, will present on Improving Branch Exams on Tuesday, January 28th at 1:30 PM. The session will cover how branch exams and field audits can be made more beneficial and impactful for both the firm and the registered representative. […]
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