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 firstname.lastname@example.org.
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.