RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head, SC
Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the sixth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held May 1-3 in Hilton Head, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms.
The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating a Comprehensive Compliance Portal and will open with a presentation from Jilenne Gunther, MSW, JD, Director of AARP BankSafe. Ms. Gunther is a well-recognized policy expert in BankSafe, financial exploitation, and consumer rights. Her groundbreaking policy and research has been replicated in more than 40 states, and it has been cited in Senate hearings, CFPB advisories, GAO reports, Forbes, and Consumer Reports. Ms. Gunther will speak on the topic of financial exploitation of vulnerable adults. During the session she will discuss the realities of the vulnerable 50+ adult population, the cost of exploitation and ways that the financial industry can work together to solve the problem.
Other notable contributors to the conference program include:
- Susan Krawczyk, Partner, Eversheds Sutherland
- Susan Light, Senior Vice President, Department of Enforcement, FINRA
- Brian Rubin, Partner, Eversheds Sutherland
- Karen Stakem Hornig, Executive Director, NIPR
- Bill Swanstrom, Vice President, Registration and Disclosure, FINRA
- Robin Traxler, Vice President of Regulatory Affairs & Associate General Counsel, FSI
- Other representatives from NIPR, FINRA, NAIC and State Departments of Insurance
John M. Schobel, RegEd CEO & Founder, commented, “Regulation continues to expand, presenting new challenges for industry firms. RCA 2017 provides a forum for RegEd clients to engage with regulators, industry thought leaders, RegEd experts and their colleagues on the critical issues and challenges they face as a result of an increasingly demanding business and regulatory environment.”
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.