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RegEd to Showcase Innovative Technology for Advertising Review at 2022 FINRA Advertising Regulation Conference

Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the FINRA Advertising Regulation Conference in Washington, DC, Oct. 20-21, 2022. FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance professionals. Industry and regulatory speakers gather at the conference to facilitate interactive, forward-looking discussions on current practices, policies, […]

RegEd to Exhibit Enterprise Compliance Solutions at 2022 NSCP National Conference

Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum MemberAlly Sponsor and will exhibit its enterprise compliance platform at the 2022 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Oct. 17-19. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has been […]

Highlights From the SEC Municipal Advisor Risk Alert

The SEC has provided a Risk Alert to remind municipal advisors of their obligations and to raise awareness among Municipal Advisors (“MAs”) of the most often cited deficiencies and weaknesses observed in recent MA examinations. Many of the same areas were covered in its 2017 Risk Alert, indicating that the SEC continues to note similar deficiencies as it did 5 years ago. Inaccurate or Incomplete Registrations and Filings The SEC found significant overlap in registration and filing deficiencies when compared to those identified in its 2017 Risk Alert. Among the inaccurate or incomplete information filed on SEC Forms MA and […]

RegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 InsureTech Connect Conference

Xchange Agency Contracting delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market RegEd will present its next-generation Xchange Agency Contracting solution at the 2022 InsureTech Connect (ITC) Conference. Developed with input from some of the nation’s largest insurance companies, Xchange Agency Contracting significantly reduces the time to contract and appoint producers while providing a streamlined user experience. ITC Vegas is the world’s largest insurtech event – offering unparalleled access to the most comprehensive and global gathering of tech entrepreneurs, investors, and insurance industry executives. Over the course of three […]

RegEd to Participate in 2022 AICP Annual Conference

Product Manager Billy Beal will be featured on an industry panel on the topic of effective consumer complaints management during the event Thought leaders from RegEd will participate at the upcoming 2022 Association of Insurance Compliance Professionals (AICP) Conference, which will be held in Miami on Sept. 18-21. RegEd is also a Bronze Level sponsor of the annual event. Conference attendees will learn about and discuss key issues facing compliance professionals at Property and Casualty and Life and Health companies. The event will bring together hundreds of senior insurance compliance professionals, regulators and industry thought leaders. “Charting the Course” is […]

RegEd to Showcase Enterprise Compliance Management Solutions at 2022 LIMRA Compliance and Financial Crimes Conference

The event will bring together senior insurance compliance professionals and industry thought leaders to discuss key issues facing the industry RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the LIMRA Compliance and Financial Crimes Conference in Indianapolis, IN, Sept. 7-9, 2022. LIMRA CFCC will host hundreds of insurance compliance and fraud professionals and offer more than 15 educational sessions including the evolving regulatory environment, fiduciary standards, cybersecurity and advertising review. As the largest provider of regulatory technology solutions to the financial services industry, RegEd […]

Securities Enforcement Trends Reflect Regulators’ Concerns for Investors

Securities regulators have stepped up enforcement to protect investors from emerging threats and evolving risks. From Reg BI to crypto to senior fraud, regulators have increased scrutiny and sanctions to punish violators and prevent future infractions. “Restoring trust in our financial markets and institutions requires the use of robust remedies,” Gurbir S. Grewal, director of the SEC’s Division of Enforcement, said recently, in congressional testimony regarding the regulator’s enforcement priorities and budget request. “In addition to punishing wrongdoers for violations of the securities laws, our remedies must deter those violations from happening in the first place. They must be viewed […]

RegEd to Showcase Innovative Technology for Advertising Compliance Review at 2022 ABA Regulatory Compliance Conference

Attendees will learn how RegEd enables two of the top three banks, and dozens of financial services firms, to streamline marketing and sales compliance through the application of artificial intelligence and other advanced technologies RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the 2022 American Bankers Association Regulatory Compliance Conference. The event will be held June 21-24 in Orlando, FL. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus. During the conference, RegEd representatives will highlight the company’s […]

RegEd EVP Michael Pouliot to Speak on the Digital Transformation of Multi-Channel Agency Distribution at Reuters Future of Insurance Conference

Attendees will learn about key trends in the insurance industry, as insurers increasingly focus on delivering a fully digital producer experience to drive speed to market and competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a Gold Sponsor and contributor at The Reuters Future of Insurance USA 2022 Conference, to be held from June 14-15 in Chicago, IL. The conference is billed as “North America’s most senior insurance event,” and will convene more than 400 industry leaders with the aim to transform products, tackle emerging risks, and strategize for success […]

Complying with Pay-to-Play Rules in an Election Year

This year’s mid-term elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to an ‘official’ of the government entity is made by the investment adviser or any of its covered associates, including a person who becomes a covered […]

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