StoneRiver RegEd solutions and services enable strong compliance, reduce risk exposure, and promote optimized practices for producer and advisor credentialing and compliance and risk management. StoneRiver RegEd’s portfolio suite brings together market-leading solutions from RegEd and its subsidiaries, Compliance Assurance Corporation and StoneRiver Financial and Compliance group, for improved enterprise compliance management, risk mitigation and to enable compliant growth.
StoneRiver RegEd is a leading provider of compliance management, licensing and registration and compliance and product education solutions to the financial services industry. RegEd was founded in 1994 by former industry regulators with a focused mission of enabling financial services firms to cost-effectively meet new and expanding compliance education obligations. Today, RegEd has over 800 clients, including the nation’s top financial services firms, and nearly one million end users in broker-dealers, insurance companies and insurance brokers. RegEd solutions deliver unparalleled levels of operational efficiency and allow firms to cost-effectively comply and manage risk associated with state, FINRA and SEC regulation.
Compliance Assurance Corporation, a subsidiary of StoneRiver RegEd, delivers workflow-enabled technology solutions that automate and simplify tasks related to regulatory compliance. The firm’s flagship platform, CODE, combines regulatory content and intelligence with a comprehensive framework to enable the efficient management of regulatory change, policies and procedures, market conduct exams, rate and form filings, consumer complaints and other compliance processes. CODE is implemented in some of the nation’s largest financial services companies.
Financial and Compliance, a subsidiary of StoneRiver RegEd, develops, implements, and supports a comprehensive range of technology solutions that are specifically designed for insurance carriers. The Financial and Compliance product suite includes solutions for Accounts Payable, General Ledger, Electronic Payment and Annual Statement filings.