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 Compliance Thought Leaders to Participate in 29th Annual SILA National Education Conference

RegEd Compliance Thought Leaders to Participate in 29th Annual SILA National Education Conference

RegEd subject matter experts will contribute to multiple conference sessions and will be considered for awards in recognition of leadership and service to the Industry

RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, will participate in the 2018 SILA National Education Conference in Indianapolis, IN on Sept. 30-Oct. 3, 2018.

The conference will provide more than 40 substantive sessions and an educational forum for attendees to address current industry challenges, discuss licensing and registration best practices, and build their overall compliance knowledge. John M. Schobel, RegEd CEO & Founder, stated, "RegEd has supported the SILA mission for nearly two decades and had the honor of receiving the Organization of the Year Award at last year’s annual conference. We look forward to continuing our committed partnership and support of SILA’s commendable charitable initiatives.”

A number of RegEd compliance thought leaders and subject matter experts are nominated for SILA awards and will participate in sessions during the conference. Margie Webber, Governance Chair on the SILA Board of Directors and a Senior Member of RegEd's Regulatory Affairs Group, will facilitate the Securities Open Forum discussion and will moderate the Legislative Update Panel. Ann Robinson has been nominated for the Bruce Saenger Education Award, for which nominees demonstrate a passion for insurance and/or securities related education topics including pre-licensing/pre-registration, continuing education, and professional development. Susan Boles, RegEd Senior Regulatory Compliance Analyst, is a nominee for the President’s Award, which recognizes a highly involved and tireless member with line-specific concentrations. In addition, Boles will be facilitating the Adjuster Open Forum.

During the conference, RegEd will feature enterprise solutions for credentialing, contracting/onboarding and appointment processing:

Alerts 2.0: The industry’s only fully automated licensing data reconciliation and management solution.

Onboarding / Contracting Automation: Eliminates manual oversight of the onboarding / contracting process.

Credentialing Validation: Real-time validations with order entry / trading systems and regulatory and industry gateways.

Smart Appointments: Enables straight-through appointment processing based on the firm's unique business rules.

RegEd representatives will be onsite to meet with conference attendees to understand their compliance and licensing challenges, and discuss solutions that enable firms to meet compliance requirements and proactively manage their compliance program and licensing operations. RegEd booths 22 and 23 will be located in the White River Ballroom of the JW Marriott.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with hundreds of 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.

RegEd to Showcase Enterprise Compliance Management Solutions at AICP Annual Conference 2018

RegEd to Showcase Enterprise Compliance Management Solutions at AICP Annual Conference 2018

Annual conference is the premier event for insurance compliance professionals, attracting more than 700 attendees

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 2018 in Nashville, TN, Sept. 23-26, 2018.

The 31st AICP Annual Conference will host over 700 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, and market conduct. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators.  Michael Pouliot, Senior Vice President, Sales, RegEd, will moderate a panel discussion on “The Compliance Department of the Future,” where panelists will discuss NAIC innovation and technology initiatives and working groups exploring the impact of innovation and advanced technologies on compliance programs. The discussion will also showcase some of the technology programs underway at the Virginia Bureau of Insurance.

During the conference RegEd will showcase its Enterprise Compliance Management Platform. The platform 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.  Fully manage the development, approval cycle and management of policies and procedures across their lifecycle.
  • Consumer Complaint Management. Systematically capture, track and manage the resolution of consumer complaints.
  • 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.

“The effective management of Regulatory Change, Policies and Procedures and Consumer Complaints is the cornerstones of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Technology-enabled processes ensure that the compliance loop is closed on requirements implementation and complaints resolution, while capturing audit trails that provide evidence of compliance to examiners.”

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 #112 in the conference’s main exhibitor hall at the Gaylord Opryland Resort & Convention Center. 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 the market-leading provider of RegTech enterprise solutions with relationships with hundreds of 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.

RegEd CEO & Founder to Speak at FSI Forum in Salt Lake City, Utah

RegEd CEO & Founder to Speak at FSI Forum in Salt Lake City, Utah

John M. Schobel will speak as part of the event’s Executive Track, on the topic of innovation and automation in the financial services industry

Financial services professionals will gather at the FSI Forum at the Grand America Hotel in Salt Lake City, Utah, on September 24-26 to discuss the foremost challenges facing advisors and executives in the industry. RegEd CEO & Founder John M. Schobel will speak at the event, on the topic of technology innovation and automation, and how technology will impact the industry in the future.

The FSI Forum is an in-depth, issues-focused educational conference that includes both advisor-focused and firm executive-focused sessions, built by and for their members. At FSI Forum 2018, attendees will be given the chance to network and engage with their peers from across the independent financial services industry, in educational sessions and discussions focused on the hottest issues facing advisors and executives.

Mr. Schobel will speak as part of the panel, Innovation & Automation to Increase Service Levels & Profit Margins, which is scheduled for Tuesday, September 25 from 9:30 to 10:30 a.m. “Leveraging new technology, the compliance and operations functions can evolve to deliver new levels of value creation and competitive advantage. Technologies such as Robotic Process Automation and AI automate repetitive, routine and manual tasks, enabling compliance resources to undertake higher value activities and increase the quality of their contribution to the business. I look forward to discussing this topic with my fellow panelists,” he stated.

The session will address ways that companies are using these new technologies to simplify business submissions, improve service levels, reduce NIGOs (not in good order) and increase profit margins. The session will also explore how companies can support the transition to new technologies and implement best practices for creating an optimized customer experience. In addition, the panelists will discuss how firms can combine technology with human interaction to preserve the value of advice, which is integral to continued industry growth.

To learn more about the FSI forum, please visit here. Registration is now open.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with hundreds of 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.

RegEd to Showcase Enterprise Platform Solution at 2018 FINRA Annual Conference

RegEd to Showcase Enterprise Platform Solution at 2018 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet obligations across compliance management, conflicts of interest, education, and licensing and registration processes

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2018 FINRA Annual Conference in Washington, DC, May 21-23, 2018.

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.

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 key trends and critical compliance challenges."

Mr. Schobel continued, "As the industry continues to shift toward technology consolidation and a streamlined rep and user experience, firms have increasingly turned to RegEd because of our unique ability to comprehensively address a wide breadth of compliance challenges with a single enterprise solution. We look forward to the opportunity to demonstrate the value that RegEd’s enterprise platform delivers.”

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 #16 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 400 enterprise clients, including 80% of the top 25 financial services firms. Established in 1994 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.

RegEd Hosts Seventh Annual-Client Conference in Fort Lauderdale FL

RegEd Hosts Seventh Annual Client Conference in Fort Lauderdale, FL

Sessions unite around empowering compliance and operations professionals to transform compliance from value protection to value creation by leveraging RegTech

RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted the annual RegEd Compliance Alliance (RCA) client conference in Fort Lauderdale, FL, April 16-18, 2018.

RCA 2018 provided executives and senior managers from Compliance, Risk Management, Legal, Governance and Operations, including Licensing and Registration professionals, with the unique opportunity to share best practices, build critical knowledge, and engage with regulators and industry experts.

The theme of RCA 2018 was RegTech: Transforming Compliance from Value Protection to Value Creation. “In 2018, RegTech has become the necessary foundation for a comprehensive, proactive and efficient compliance program. Regulatory technology enables firms to shift the compliance function from value protection alone to a significant contributor of value to the organization,” commented John M. Schobel, CEO & Founder, RegEd, Inc. “This manifests in a positive impact on Rep/Advisor recruitment, the ability to deflect regulator attention by demonstrating a high watermark compliance program, and important compliance and business insights gained from aggregated compliance data. As we strive to show in all of our interactions with clients, and have demonstrated at RCA 2018, RegEd embodies RegTech’s value creation ethos. Put simply, RegEd is RegTech.”

The conference agenda featured sessions that delivered the latest information and expert insights surrounding the industry’s evolving regulatory and compliance concerns in an educational and collaborative forum. Amias Gerety, RegTech expert and Former Asst. Secretary for Financial Institutions, U.S. Department of Treasury, gave the keynote address at the conference. Mr. Gerety served as the President's nominee and as Acting Assistant Secretary for Financial Institutions at the U.S. Department of the Treasury from April 2014 until January 2017. In that role, he was the lead advisor to the Secretary on policies affecting financial institutions from prudential standards to cybersecurity, and from insurance to banks to emerging fintechs.

A program spotlight, “The State of Financial Services Regulation in 2018,” was presented by Roberto Rodriquez, Director of Regulatory Strategy at PwC, who spoke about the state of regulation in 2018 and important new regulatory agency appointments, how they are impacting enforcement and the likely longer-term impacts for financial services firms.

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 enables firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Hosts NAIC Market Regulation Update and Market Conduct Exam Best Practices Webinar for Compliance Legal and Risk Management Professionals in the Insurance Industry

RegEd Hosts NAIC Market Regulation Update and Market Conduct Exam Best Practices Webinar for Compliance, Legal and Risk Management Professionals in the Insurance Industry

RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries, presented the webinar, "NAIC Market Regulation Update and Market Conduct Exam Best Practices" on October 26, 2017. The session featured Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC), and RegEd regulatory and technology subject matter experts. Attendees included executives and senior managers from Compliance, Legal and Risk Management across the insurance industry.

The webinar provided attendees with insight into select NAIC working groups, including the Market Conduct Examination Standards Working Group and the evolution of the Market Regulation Handbook. The discussion included the Market Actions Working Group and their review and analysis of market regulation issues of national impact. In addition, the webinar focused on the Market Conduct Annual Statement (MCAS) as a catalyst for market conduct examinations. Merlinda Johnson, Director of Insurance Regulatory Compliance at RegEd, stated, "We were happy to host this webinar. Attendees benefitted from Mr. Helder’s insight surrounding NAIC market regulation objectives and priorities.” Johnson continued, “It is imperative that the insurance industry continuously engage with the regulators and remain current on evolving market conduct best practices. By doing so, companies can mitigate the risk of being subject to increased market conduct investigations and examinations.”

Mark Pfeifer, CODE Enterprise Solutions Product Strategy and Business Development leader at RegEd commented, "consumer and regulator expectations, as well as their use of technology, are outpacing the technology insurers use for market conduct exams. Firms need to at least be thinking about for-purpose exam technology; something that puts them in a ready posture before an exam starts, and ideally helps them avoid an exam."

For more information regarding RegEd's Enterprise Compliance Management Solutions for Insurance Companies, 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.

About NAIC

The National Association of Insurance Commissioners (NAIC) is the U.S. standard-setting and regulatory support organization created and governed by the chief insurance regulators from the 50 states, the District of Columbia and five U.S. territories. Through the NAIC, state insurance regulators establish standards and best practices, conduct peer review, and coordinate their regulatory oversight. NAIC staff supports these efforts and represents the collective views of state regulators domestically and internationally. NAIC members, together with the central resources of the NAIC, form the national system of state-based insurance regulation in the U.S.

RegEd Leading Provider of Compliance Technology Solutions to Participate in 2017 NSCP National Conference

RegEd, Leading Provider of Compliance Technology Solutions, to Participate in 2017 NSCP National Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2017 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-18, 2017.

The NSCP National Conference offers more than 60 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.

“We’re in an increasingly complex regulatory climate with rigorous regulator expectations. As a result, we see the industry moving toward the consolidation of multiple applications to a single platform that provides workflow-managed processes, automatic risk identification, trending and a seamless user experience,” stated John M. Schobel, CEO & Founder of RegEd. “Every year we look forward to the NSCP conference – in addition to the superb conference program, it’s a great opportunity to meet with attendees to discuss the trends we’re seeing and how RegEd has helped hundreds of firms seamlessly manage compliance, conflicts-of-interest, onboarding and licensing and registration processes, while accommodating our clients’ business needs as they evolve.”

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

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. 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.

Written Supervisory Procedures: Automated distribution of policies and attestation to employees, as well as notifications to Compliance of polices impacted by notices, bulletins and rule changes by FINRA, SEC, MSRB and other securities regulators.

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 #37 in the main exhibit hall of the Omni Shoreham Hotel. For more information on RegEd or its attendance at the 2017 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.  For more information, visit www.reged.com.

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.

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