RegEd Features Solutions for Managing Regulatory Change Policies and Procedures Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd Features Solutions for Managing Regulatory Change, Policies and Procedures, Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers, banks and other financial services firms, is pleased to announce its participation in the NAFCU Annual Regulatory Compliance Seminar 2017, which was held in San Diego, CA, October 10-13, 2017.

The NAFCU Regulatory Compliance Seminar brings together CEOs, CFOs, and compliance and operations professionals for a program that discusses industry hot topics, regulatory updates and proposed regulations. The conference program is tailored to provide an understanding of how to conquer the latest challenges in credit union compliance. This year’s program included sessions such as: New TRID Amendments, Current Litigation Risks for Credit Unions, Social Media and Advertising Risks, Complaint Tracking and Management, HMDA and Fair Lending – Preparing for your Examinations, and Compliance and Cybersecurity.

“Credit unions are subject to a regulatory framework that has, in many instances, been designed for banks and other financial services firms that have greater capacity to absorb the demand of an increasing compliance burden,” stated Debra Freitag, Chief Strategy Officer at RegEd. “Speaking with attendees during the seminar confirmed that this challenge is top of mind. There is a need for compliance solutions that enable credit unions’ existing operations to be more efficient and able to scale to meet compliance requirements without increasing staff.”

During the seminar RegEd showcased a suite of enterprise compliance management solutions that enable credit unions to efficiently manage their compliance program:

Branch Audit Management: Fully plan, schedule, conduct, resolve and report on credit union branch audits; configured to reflect unique organizational hierarchy and business processes.

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides institutions with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Consumer Complaint Management: Systematically capture, track and manage the resolution of consumer complaints.

Policies and Procedures Management: Provides an enterprise workflow and task management solution that enables end-to-end management and oversight of policies and procedures, including approval, distribution, attestation and testing program management.

About RegEd

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, please visit www.reged.com.

RegEd to Feature Enterprise Solutions for Managing Regulatory Change Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd to Feature Enterprise Solutions for Managing Regulatory Change, Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2017 in Seattle, WA, October 1-4, 2017.

The 30th AICP Annual Conference will host over 400 insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer more than 60 educational sessions including the evolving regulatory environment, cybersecurity, market conduct, ethics, and the future of technology in compliance roles. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase the CODE® Enterprise Compliance Management Platform. CODE supports an integrated suite of compliance management solutions, including:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

Consumer Complaint Management: Systematically capture, track and manage the resolution of consumer complaints.

“Effective Consumer Complaint and Market Conduct Exam Management are critically interconnected cornerstones of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Insurers must manage them holistically, to mitigate the risk of inviting increased exams, while minimizing the negative impact of exams that occur, through comprehensive audit trails and methodical documentation of compliance.”

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable insurers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #20 in the conference’s main exhibitor hall at the Sheraton Seattle Hotel. For more information on RegEd or its attendance at the AICP Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

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, please visit www.reged.com.

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the American Counsel for Life Insurers (ACLI) Annual Conference 2017 in Orlando, FL, October 8-10, 2017.

The conference brings together senior executives from life insurance and financial services companies to examine today's business and political issues. The program features general sessions with industry-expert speakers and over 20 breakout sessions addressing legal, investment/financial, reinsurance, compliance, retirement security, advocacy, and legislative and regulatory issues. Also in attendance will be senior representatives from associated industries and financial services associations.

“An extended period of low interest rates coupled with an increasingly complex regulatory environment is driving life insurers to implement for-purpose compliance technology to reduce operational costs and strengthen their compliance posture with regulators,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Scores of RegEd clients have implemented our insurance compliance platform and solutions, to greatly reduce the cost and risk associated with managing the high volume of regulatory change they are subject to. Our clients, including the nation’s largest life insurers, tell us that they can ‘sleep at night’ knowing that technology has enabled them to eliminate compliance gaps and capture audit trails critical to demonstrating compliance.”

RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, market conduct examinations and advertising review. These solutions enable insurers to effectively and efficiently meet compliance obligations and proactively manage their compliance program:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables insurers to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

Advertising Review Management: Streamlines the end-to-end process for advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd

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, please visit www.reged.com.

RegEd Named SILA 2017 Organization of the Year

RegEd Named SILA 2017 Organization of the Year

RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017.

John M. Schobel, RegEd CEO & Founder, stated, "On behalf of RegEd, I want to offer sincere appreciation to the committee at SILA for selecting us as the Organization of the Year. We have invested greatly into our Enterprise Xchange platform over the last decade, and especially over the past 24 months, and it’s extremely gratifying to have our innovations recognized. For example, our Alerts 2.0 module is keeping the credentials of hundreds of thousands of producers updated automatically, reducing effort and compliance risk exposure for our clients. Our new streamlined user interface will make processing faster and easier, saving time and reducing licensing costs. And our Onboarding modules for both insurance companies and broker-dealers are solving an age-old problem and making a better experience for firms and agents. RegEd’s mission is to bring efficiency and better compliance to our clients, and we couldn’t be happier to be recognized for these efforts.”

A number of RegEd compliance thought leaders and subject matter experts were also nominated for individual SILA awards during the conference. Brandi Brown, Senior Vice President of RegEd’s Regulatory Affairs Group, was nominated for the Bruce Saenger Education Award, which demonstrates a passion for insurance and/or securities related education topics: pre-licensing/pre-registration, continuing education, and professional development. Susan Boles, RegEd Senior Regulatory Compliance Analyst, was a nominee for the Robert Kennedy Appreciation Award, which demonstrates dedication in continuous volunteer service to SILA and the advancement of the SILA objectives and principles.

Outstanding individuals and organizations in the compliance industry are recognized and honored through the SILA Awards program. SILA Awards are presented annually at the National Education Conference to recipients who are nominated by their peers. The recipient of the Organization of the Year Award demonstrates leadership and dedication in continuous service to the licensing/securities industries. Perhaps the most significant factor considered is the nominee’s dedicated advancement of the SILA objectives and principles: Promote and improve communication; Develop relationships with industry organizations, associations, licensing and registration departments and related organizations; Offer solutions to common licensing and registration problems; and Provide professional and technical education opportunities.

About RegEd

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.

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the American Bankers Association Regulatory Compliance Conference 2017. The event will be held June 11-14 in Orlando, FL. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus.

“Banks must navigate economic headwinds, regulatory uncertainty and an increasingly unforgiving enforcement environment placing them under pressure to drive operational efficiency and install effective compliance oversight,” commented Debra Freitag, RegEd Chief Strategy Officer. “RegEd has partnered with leading banks to meet critical compliance challenges with highly customized solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other solutions for the banking industry:

Advertising Review Management: Streamlines the end-to-end process for advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Branch Audit Management: Enables banks to fully plan, schedule, conduct, resolve and report on bank branch audits. The solution is fully configurable to reflect the bank’s specific organizational hierarchy and business processes.

Employee Conflicts of Interest Management: Including Gifts and Gratuities, Outside Business Activities, Personal Securities Accounts, and Political Contributions. Capture full audit trails of requests, approvals, exceptions, attestations and documentation.  

Policies and Procedures Management: Enables administration and oversight of the bank’s policies and procedures, including approval, distribution, attestation management and testing program management.

Regulatory Exam Management:  Streamline and automate the management of regulatory exams from the receipt of the “first day” letter, across all preparatory activities, through to the final response submitted to the regulator, significantly reducing the time and resource commitment required to support regulatory examinations.

RegEd is exhibiting at the conference and can be located at Booth 332 in the main exhibit hall of the Walt Disney World Dolphin Hotel. For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients across the financial services industry. 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 banks, 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.

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2017 FINRA Annual Conference in Washington, DC, May 16-18, 2017.

FINRA's annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today's evolving industry with interactive forums led by experienced industry veterans and regulators.

RegEd's CEO & Founder, John M. Schobel stated, "The FINRA Annual Conference provides an important forum for regulators, industry firms and solution providers, like RegEd, to engage in dialog about critical compliance and operational challenges and the best practice approaches for addressing those challenges." 

Mr. Schobel continued, "Conflicts of interest continues to be high on the radar of multiple regulators and we expect to see changes to FINRA’s Gifts, Gratuities and Non-Cash Compensation rules as a result of their proposed amendments. RegEd has invested significantly in addressing industry challenges in this area, and we will showcase RegEd’s enterprise-grade Gifts and Entertainment solution at the conference.”

During the conference RegEd will highlight a number of enterprise compliance solutions that enable firms to instill a culture of compliance in today’s rapidly evolving regulatory environment:

SCORE® Compliance Dashboard: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.

Global Conflicts of Interest Management: Monitor, identify and remedy conflicts of interest and code of conduct issues across the firm’s supervised and employee populations.

Enterprise Gifts & Entertainment Management: Revolutionary advanced capabilities enable global enterprise gifts and entertainment tracking and management, including Concur® integration.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background 
investigations.

Regulatory Change / Policies & Procedures Management: Delivers actionable regulatory updates and tracking of compliance obligations in a closed-loop process. Impacted policies are automatically identified.

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #25 in the conference’s main exhibitor hall at the Marriot Marquis Washington, DC. For more information on RegEd or its attendance at the FINRA Annual conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd, Inc. 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. 

RegEd to Showcase Enterprise Compliance Solutions at FSI OneVoice Conference

RegEd to Showcase Enterprise Compliance Solutions at FSI OneVoice Conference

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Francisco, CA, January 23-25, 2017.

The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 25 sessions on topics including DOL fiduciary rule compliance, cybersecurity, and managing regulatory change, regulatory exams and policies and procedures. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

SCORE® Advisor Dashboard: Aggregates critical compliance data to present a real-time view of individual rep compliance / credentialing status and requirements.

DOL Fiduciary Rule Compliance Training: Comprehensive curriculum enables firms to effectively train employees and partners on the new and changed standards of the fiduciary rule.

Enterprise Gifts and Entertainment Tracking: Revolutionary expanded capabilities enable global enterprise gifts and entertainment tracking and management, including Concur® integration.

Regulatory Change/Policies and Procedures Management: Delivers actionable regulatory updates and provides tracking of compliance obligations in a closed-loop process. Impacted policies are automatically identified.

John M. Schobel, Chief Executive Officer at RegEd, commented, “In this regulatory climate it is more important than ever that firms have the tools in place to support a robust culture of compliance. We’re pleased to be a sponsor at this year’s FSI OneVoice conference, which will give us the opportunity to meet with our clients and introduce them to solutions that will enable them to effectively manage risk in 2017.”

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #120 in the conference’s main exhibitor hall at the Marriot Marquis San Francisco. For more information on RegEd or its attendance at the FSI OneVoice conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd, Inc. 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.

RegEd Selected as Best in Class Solution for 1st Global’s Enterprise Empowerment Initiative

RegEd Selected as "Best-in-Class" Solution for 1st Global's Enterprise Empowerment Initiative

RegEd, the leading provider of enterprise Compliance Management, Licensing and Registration and Compliance Education solutions, has announced a partnership with 1st Global, an independent wealth management partner to exceptional CPA firms, to be a part of the company’s Enterprise Empowerment Initiative (EEI). 1st Global recently announced a firm-wide overhaul of its technology infrastructure and RegEd solutions will serve as a key component for the initiative and drive efficiency across a range of critical business processes.

After an extensive due diligence process, 1st Global selected RegEd to manage advertising compliance, registration renewal, firm element training, outside business activities reconciliation, personal securities account management and new advisor licensing as part of the new platform. 1st Global will also utilize RegEd SCORE® Risk Control Center, which delivers a comprehensive view into the status of compliance requirements at the company level or specific to the individual.

“1st Global’s empowerment initiative demonstrates the firm’s ongoing commitment to compliance excellence in enabling employees and partners to adapt to a changing business landscape,” commented John M. Schobel, Chief Executive Officer at RegEd. “The role that integrated technology and effective data management play in an undertaking like this cannot be overstated. We’re pleased that RegEd was selected for the breadth of our solution suite and an unmatched ability to holistically address 1st Global’s rigorous requirements.”

The EEI began to take form more than two years ago when 1st Global’s senior executive team identified the firm’s need to enable its affiliated firms and the people in its own organization to better serve their clients. Over time, the initiative has evolved into the largest investment in internal infrastructure in the company’s 24-year history.

“We are incredibly excited about the launch of the Enterprise Empowerment Initiative, which will deliver the resources and capabilities to enable the continued success of our business,” said Adam Schaub, Chief Compliance Officer for 1st Global Capital Corp. and leader of the new compliance system. “Our affiliated advisors and home office employees benefit greatly from partnering with leading providers like RegEd to ensure that 1st Global’s technology resources represent the gold standard of our industry and enable compliance and operational excellence across the organization.”

About RegEd

RegEd, Inc. 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.

About 1st Global

1st Global was founded in 1992 by CPAs who believe that accounting, tax and estate planning firms are uniquely qualified to provide comprehensive wealth management services to their clients. 1st Global is a research and consulting partner that provides CPA, tax and estate planning firms with the education, technology, business-building framework and client solutions that make these firms leaders in their professions through dedicated professional client relationships built around wealth management. Around 400 firms have chosen to affiliate with 1st Global, making it one of the largest financial services partners for the tax, accounting and legal professions.

Securities are offered through 1st Global Capital Corp., which is a Member of FINRA and SIPC and is headquartered at 12750 Merit Dr., Ste. 1200 in Dallas, Texas, 214-294-5000. Investment advisory services are offered through 1st Global Advisors, Inc. Additional information about 1st Global is available at www.1stGlobal.com.

RegEd to Showcase Regulatory Change Management and Market Conduct Exam Management Solutions at AICP Annual Conference 2016

RegEd to Showcase Regulatory Change Management and Market Conduct Exam Management Solutions at AICP Annual Conference 2016

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2016 in Orlando, FL, October 25-28, 2016.

The 29th AICP Annual Conference, an educational forum for Property and Casualty and Life and Health insurance compliance professionals, will offer more than 60 concurrent sessions including ethics, evolving cyber threats, market conduct, corporate governance, culture of compliance, and regulatory oversight. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase the CODE® Enterprise Compliance Management Platform. CODE supports an integrated suite of compliance management solutions, including:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Policies and Procedures Management: Provides an enterprise workflow and task management solution that enables end-to-end administration and oversight of all elements of the firm’s policies and procedures, including policy approval, policy distribution, attestation management, testing program management and deficiency and case management.

Market Conduct Exam Management: Enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

Debra Freitag, Chief Strategy Officer at RegEd, stated, "The AICP Annual Conference is an important forum for insurance industry compliance professionals, who must effectively manage volumes of regulatory change, readily respond to document requests from examiners, regulators and internal stakeholders, and be well-prepared to demonstrate a strong compliance program in the event of a market conduct exam.” Freitag continued, "We’re excited to support the event again this year, and to share our expertise and highlight RegEd technology solutions and ways they help our clients close non-compliance gaps and reduce risk."

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable insurers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #19 in the conference’s main exhibitor hall at the Hyatt Regency Orlando. For more information on RegEd or its attendance at the AICP Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

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.

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Compliance and Legal Conference 2016

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Compliance and Legal Conference 2016

RegEd, the leading provider of compliance technology to the financial services industry, will highlight a set of enterprise compliance solutions at the upcoming ACLI Compliance & Legal Sections Annual Conference 2016, held July 11-13 in Boston, MA. The featured solutions enable insurers and other financial services firms to effectively and efficiently meet compliance obligations and proactively manage their compliance program.

“Policies and Procedures and Regulatory Change Management are the backbone of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Insurers in today’s regulatory climate must manage them holistically, to ensure that the organization’s polices and code of ethics are mapped to current regulatory requirements and are demonstrably effective.”

RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, policies and procedures, and market conduct examinations:

Regulatory Change Management

Regulatory Change Management is a fully integrated solution that streamlines the end-to-end process of managing regulatory change throughout the organization. CODE facilitates a workflow-enabled, closed loop process that provides firms with everything they need to be aware of, comply with, and demonstrate compliance with all relevant regulatory changes. 

Policies and Procedures Management

Policies and Procedures Management provides an enterprise workflow, work-process and task management solution that enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures. This includes the policy approval process, policy distribution, attestation management, testing program management and deficiency and case management. The solution establishes a central control center for all policies and enables the firm to establish discreet policies based on role, function, department and entity.

Market Conduct Exam Management

Market Conduct Exam Management provides a highly configurable solution that enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams. The solution installs best practices and drives efficiency across all exam management tasks, enabling firms to significantly reduce the time and resource commitment required during a market conduct exam.

Following the conclusion of the conference, RegEd will co-host the Policy Management by Design workshop with GRC 20/20, a leading industry analyst firm. The hands-on, educational workshop will provide attendees with a blueprint for creating and managing an effective, efficient, and agile policy management program.

For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd
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.

Posts navigation

1 2 3 4
Scroll to top