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FINRA Annual Conference

RegEd to Showcase Enterprise Platform Solution at 2019 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.

Raleigh, NC, May 10, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2019 FINRA Annual Conference in Washington, DC, May 15-17, 2019.

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. The conference will offer a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

During the conference RegEd will showcase its comprehensive platform capabilities and enterprise solutions, and discuss how it delivers the highest levels of efficiency, effectiveness and transparency across the enterprise, enabling firms to:

  • Consolidate vendors and applications to reduce complexity and overall cost of ownership.
  • Simplify the end-user experience to drive improved rep and user satisfaction.
  • Install enterprise-level reporting and dashboards for risk analysis to proactively identify negative trends, mitigate risk and demonstrate compliance.
  • Automate data entry, aggregation and reuse to reduce manual processes and human error.

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 #13 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 is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

Madelyn Matthews
919-653-5202

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2018 National Society of Compliance Professionals (NSCP) National Conference in Atlanta, GA, on October 29-31, 2018.

Recognized as one of the most comprehensive educational offerings within the securities compliance industry, the NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. This year, the conference agenda will focus on recent regulatory developments and hot-topics such as enforcement trends, cybersecurity, and compliance best practices.

“Regulators are increasingly holding firms accountable for maintaining a holistic program for rigorous rep supervision. At the same time, the war for talent acquisition and retention creates pressure to deliver a seamless rep experience when it comes to compliance,” stated John M. Schobel, CEO & Founder of RegEd. “As a result, we see the industry moving toward a single platform approach that delivers a comprehensive set of tools to manage compliance, automates risk identification and delivers a simplified user experience. We look forward to the chance to meet with attendees and discuss the ways that RegEd enables our clients to manage these challenges.”

RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions:

Advertising Review: Streamlines the end-to-end processes for advertising and customer communication submission, review, collaboration and approval, reducing time to market for marketing and sales initiatives. The solution fully supports SEC 17(a)-4 compliance.

Branch Audits: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Significantly reduces manual and paper-driven processes, creating a seamless and efficient end-to-end process for branch audit reviews.

Conflicts of Interest: 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.

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 #8 in the main exhibit hall of the Omni Atlanta Hotel. For more information on RegEd or its attendance at the 2018 NSCP National Conference, please call 800-334-8322 or email sales@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 Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd Reaches New Milestone with More than 250,000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform, representing 50% of the registered rep population across firms with over 100 reps. The firm has achieved this milestone through its unique capacity to support complex hierarchies and multidimensional approval processes. RegEd’s Enterprise Outside Business Activities / Compliance Questionnaires solution is used by hundreds of industry firms, including 80% of the top 25 broker-dealers. 

A module of RegEd’s fully integrated Conflicts of Interest Management Solution Suite, Outside Business Activities is the top choice among broker-dealers across the country, and a reason why RegEd is the highest volume FINRA Web EFT filer with more than 1 million transactions processed. To date, more than 3.5 million Outside Business Activities (OBA) and Compliance Questionnaire transactions have been submitted through the RegEd platform, on which more than 8 million active registrations and licenses are also managed.   

Outside Business Activities leverages RegEd’s powerful platform capabilities to facilitate the collection, analysis and reporting of critical compliance information in the precise format required by FINRA, and enables centralized management of OBA disclosures, attestations and amendments, workflow-directed task management, real-time validations and exception alerts and sophisticated hierarchy management. Outside Business Activities significantly reduces review time and facilitation of communications on specific requests, speeding the decision process. In addition, the solution seamlessly integrates with FINRA WebEFT, enabling registered representatives to affirmatively attest to the accuracy of their U4 data on file.

“With regulators increasing their focus on outside business activities tracking, it’s mission critical that firms employ technology to efficiently manage the end-to-end OBA process in a rep-friendly manner. RegEd worked with more than a dozen firms to build the most robust Enterprise Outside Business Activities solution available in the market with specific attention on a user-friendly rep front-end,” stated John M. Schobel, CEO & Founder, RegEd. “For our larger clients, RegEd’s ability to seamlessly manage their highly complex supervisory hierarchies has been paramount in their adoption of Enterprise Outside Business Activities.” 

Reaching this milestone confirms that the broker-dealer industry is increasingly relying on RegEd solutions to reduce non-compliance risk, eliminate time-consuming manual processes, and maintain good standing with FINRA regulations.

About RegEd, Inc.

RegEd, Inc. is a leading provider of enterprise 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 broker-dealers, insurers and other financial services firms.

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 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 Feature Solutions that Address Critical Compliance Challenges for the Banking Industry at ABA Regulatory Compliance Conference 2016

RegEd to Feature Solutions that Address Critical Compliance Challenges for the Banking Industry at ABA Regulatory Compliance 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 ABA Regulatory Compliance Conference 2016, held June 12-15 in San Diego, CA. The featured solutions enable banks to efficiently address critical compliance challenges, including several key areas of regulator focus.

“RegEd has a long and proven track record as an enterprise technology provider to leading broker-dealers, investment advisors and insurance companies,” commented John Schobel, RegEd Chief Executive Officer. “We’re now focused on helping banks meet compliance challenges in many of the same areas that have enabled us to establish trusted partnerships with more than four hundred enterprise clients in the financial services industry.”

During the conference, RegEd representatives will highlight enterprise solutions for managing employee conflicts of interest, regulatory change, policies and procedures, and regulatory exams:

Employee Conflicts of Interest Management

RegEd’s Conflicts of Interest Management solution suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employees and supervised individuals. The solution comprises five modules which can be implemented individually or together: Gifts and Gratuities, Outside Business Activities, Political Contributions, Personal Securities Account Management, and Conflicts of Interest Questionnaires.

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 installs a central control center for all policies and enables the firm to establish discreet policies based on role, function, department and entity.

Regulatory Exam Management

Regulatory Exam Management enables financial services firms to effectively prepare for and efficiently manage the myriad of tasks undertaken during the course of a regulatory examination. The solution embeds a streamlined, repeatable methodology for managing exams, from pre-exam preparation to fulfillment of post-exam remediation requirements, enabling firms to significantly reduce the time and resource commitment required during a regulatory exam.

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 Solutions That Enable a Culture of Compliance at the 2016 NSCP National Conference

RegEd to Showcase Solutions That Enable a Culture of Compliance at the 2016 NSCP National Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2016 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-19, 2016.

The NSCP National Conference offers more than 70 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. There will also be a significant focus on the recent DOL fiduciary rule and its implications for the industry.

RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions, and discuss the ways in which they support a robust culture of compliance:

DOL Fiduciary Rule Compliance: Courses that enable firms to effectively train employees on the requirements of the fiduciary rule, and technology solutions for monitoring and managing compliance across the organization.

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.

SCORE® Risk Control Center: Configurable compliance dashboards that deliver clear, comprehensive views into the status of compliance requirements at the company level or specific to the individual.

Ann Robinson, Senior Vice President, RegEd, and former compliance officer with more than 15 years of experience in the financial services industry, will speak on the topic, Managing the RFP Process for Vendor Solutions. The session will cover the front-to-back RFP process, including management’s role, liability issues, responsibilities and best practices when evaluating a vendor solution. Robinson stated, "The NSCP National Conference offers an educational forum to discuss regulatory hot topics and share best practices. This year the program includes a conference track focused specifically on the new DOL rule and its potential impact. RegEd representatives will address the ways in which training and technology can effectively prepare firms to deal with the requirements of the rule.”

RegEd is exhibiting at the conference and can be located at Booth 42 in the main exhibit hall of the Omni Shoreham Hotel. For more information on RegEd or its attendance at the 2016 NSCP National 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. 

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