Check here for content from industry and RegEd subject matter experts.
Video: RCA 2019 Session – FINRA, SEC and State Securities Enforcement Trends
In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
Video: Client Testimonial – Regulatory Change Management
Molly Akin, AVP Corporate Compliance & Ethics at Ohio National Life Insurance Company, on how RegEd’s Regulatory Change Management solution has streamlined the end-to-end process of tracking and managing relevant regulatory changes in her organization.
Webinar: A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Video: RegEd SCORE Risk Control Center
Learn how SCORE delivers a clear view of compliance requirements and risks, at the enterprise level or specific to the employee.
Webinar: Making Your Conflicts of Interest Compliance Program Defensible
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program
Case Study: 1st Global
Learn how 1st Global partnered with RegEd to drive a company-wide initiative to strengthen their compliance program through the introduction of advanced compliance and operations technology.
Case Study: Enterprise Compliance Management for Insurance Companies
Download ROI Snapshots to learn how three leading insurance companies utilized RegEd’s Regulatory Change Management solution suite to dramatically improve enterprise compliance.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.
Webinar: State Model Acts: What You Need to Know
An examination of state model acts and the regulatory landscape as it relates to topics such as senior and vulnerable adult protections, cyber risk management, standard of care, FinTech and InsurTech.
Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers
An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.
Webinar: NAIC Market Regulation Update and Market Conduct Exam Best Practices
Discussion of NAIC market regulation standards, important trends, critical priorities, and best practices to mitigate risk and minimize the negative impact of exams that occur.
Video: RegEd Solutions for Banks
Learn how RegEd helps banks identify highly effective and cost-efficient strategies to manage compliance across the enterprise.
Webinar: The Evolution of Branch Audit Management: Leveraging Technology to Keep Pace in a Dynamic Regulatory Landscape
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective Branch Audit program.
Webinar: Documenting Effective Onboarding Due Diligence
FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Webinar: Current Regulatory Issues Concerning Outside Business Activities
FINRA’s supervision of Outside Business Activities (OBAs) discussion includes OBA requirements, exam trends, and best practices.
Webinar: Pay-to-Play: Understanding the Impact of Recent Enforcement Actions on Your Firm
Discussions in the developments in pay-to-play regulation and the potential impact of recent enforcement actions on your firm.
Webinar: Examining the Regulatory Focus on Gifts, Gratuities, and Pay-to-Play
Discussion includes the changing regulatory environment and best practices for Gifts, Gratuities and Non-Cash Compensation and Pay-to-Play.
Webinar: Navigating the Complexity of COI Compliance for Firms Large and Small
How to efficiently manage conflicts of interest for broker-dealers, investment advisers, insurers, and other financial services.
Webinar: Eliminate Inefficiencies in the Onboarding Process
Efficient onboarding, including integrated background investigation and configurable workflows that automate FINRA submissions and fulfillment of licensing, registration and compliance requirements.
Video: Enterprise Advertising Review
Advertising Review presents a single, integrated solution that streamlines advertising and customer communication submission, review, collaboration and approval, speeding time to market.
Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry
Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.
eBook: Proactive Conduct Risk Management
SCORE installs a powerful compliance control center that enables firms to proactively identify and calculate non-compliance and sales practice risk across their employee population.
eBook: RegEd Regulatory Change Management
RegEd Regulatory Change Management facilitates a workflow enabled, closed-loop process that provides firms with everything they need to be aware of, comply with, and demonstrate compliance.
Case Study: Market Conduct Exam Management
RegEd partnered with the client to streamline and automate their market conduct exam program management via the CODE Enterprise Platform.
Case Study: Enterprise Advertising Review
The evaluation committee determined that RegEd’s Advertising Review, an industry-leading enterprise solution, would enable the company to mirror their existing compliance workflows.
eBook: Enterprise Advertising Review
Streamline the End-to-End Management of Advertising and Customer Communications Compliance
eBook: Enterprise Audit Management
RegEd’s industry-leading Audit Management solution enables firms to fully plan, schedule, conduct, resolve and report on branch audits.
Case Study: Global, Enterprise Conflicts of Interest
U.S.-based, tier-one global financial services firm with retail and institutional customers and more than 40,000 employees worldwide, sought to implement a single solution their compliance program.
eBook: Enterprise New Product Approval for Banks
The RegEd Enterprise NPA solution is built on RegEd’s market-leading enterprise workflow management platform that has been implemented by the nation’s largest banks.
eBook: RegEd Company Overview
Founded in 1994, RegEd is a leading provider of Enterprise Compliance Management, Compliance Education and Licensing and Registration solutions to the financial services industry.
eBook: Enterprise Compliance Management for Banks
RegEd’s Enterprise Compliance Management Platform enables banks to effectively and efficiently meet compliance obligations and proactively manage their compliance program.