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RegEd Hosts Eighth Annual Client Conference in Fort Lauderdale, FL

Sessions united around best practices to tackle pressing challenges in today’s demanding business and regulatory environment

Raleigh, NC, April 15, 2019 – RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted its eighth annual RegEd Compliance Alliance (RCA) Client Conference in Fort Lauderdale, FL on April 8th – 10th, 2019.

The 2019 RegEd Compliance Alliance provided CCOs, Compliance professionals, Licensing and Registration and other operations professionals, with the unique opportunity to build critical knowledge on industry hot topics, engage with regulators on the latest updates and trends, and discuss compliance developments with peers and RegEd subject matter experts.

The conference program included substantive sessions, panel discussion and expert presentations surrounding the industry’s evolving regulatory and compliance concerns. The program addressed topics such as data analytics and AI in the future of compliance, technology as a catalyst for cultural change, cybersecurity, and the state of regulation and managing regulatory change. Sessions provided attendees with the forums, best practices and tools needed to take on everyday challenges and the evolving requirements of compliance in the industry.

For more details about the RegEd Compliance Alliance (RCA) Client Conference or information on RegEd’s compliance management, licensing and registration, and product education solutions, visit www.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.

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 to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Charleston, SC

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Charleston, SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the fifth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held April 18-20 in Charleston, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms.

The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating a Comprehensive Conflicts of Interest Program, and will open with a keynote by David Chaves, Supervisory Special Agent, FBI Securities. Mr. Chaves is a senior FBI Agent assigned to the New York division and has served as the securities fraud program manager for many of the most prominent securities cases prosecuted over the last decade. He is widely acknowledged as the chief strategist in handling complex white-collar investigations and for identifying corruption in the hedge fund industry. Mr. Chaves will speak on the topic of cybersecurity, which the FBI has identified as a top criminal priority, and offer expert insight into issues of cybersecurity resources, compliance, risk analysis, policies, procedures, pitfalls, response plans and best practices to help protect against cyber intrusions.

Other notable contributors to the conference program include:

  • Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts, LLC
  • Francois Cooke, Managing Director, ACA Compliance Group
  • Susan Light, Senior Vice President, Department of Enforcement, FINRA
  • Linda Riefberg, Special Counsel, Partner, Cozen O'Connor
  • Brian Rubin, Partner, Sutherland Asbill & Brennan LLP
  • Karen Stakem Hornig, Executive Director, NIPR
  • Other representatives from NIPR, FINRA and the NAIC

Stephanie Buchanan, RegEd Chief Client Officer, commented, “RCA 2016 represents a phenomenal opportunity for RegEd clients to engage with regulators, industry thought leaders, RegEd experts and their colleagues on the critical issues and challenges they face as a result of an increasingly demanding business and regulatory environment.”

For more details about the RegEd Compliance Alliance (RCA) conference or information on RegEd's compliance management, licensing and registration, and product education solutions, 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. 

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head SC

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head, SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the sixth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held May 1-3 in Hilton Head, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms.

The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating a Comprehensive Compliance Portal and will open with a presentation from Jilenne Gunther, MSW, JD, Director of AARP BankSafe. Ms. Gunther is a well-recognized policy expert in BankSafe, financial exploitation, and consumer rights.  Her groundbreaking policy and research has been replicated in more than 40 states, and it has been cited in Senate hearings, CFPB advisories, GAO reports, Forbes, and Consumer Reports.  Ms. Gunther will speak on the topic of financial exploitation of vulnerable adults. During the session she will discuss the realities of the vulnerable 50+ adult population, the cost of exploitation and ways that the financial industry can work together to solve the problem.

Other notable contributors to the conference program include:

  • Susan Krawczyk, Partner, Eversheds Sutherland
  • Susan Light, Senior Vice President, Department of Enforcement, FINRA
  • Brian Rubin, Partner, Eversheds Sutherland
  • Karen Stakem Hornig, Executive Director, NIPR
  • Bill Swanstrom, Vice President, Registration and Disclosure, FINRA
  • Robin Traxler, Vice President of Regulatory Affairs & Associate General Counsel, FSI
  • Other representatives from NIPR, FINRA, NAIC and State Departments of Insurance

John M. Schobel, RegEd CEO & Founder, commented, “Regulation continues to expand, presenting new challenges for industry firms. RCA 2017 provides a forum for RegEd clients to engage with regulators, industry thought leaders, RegEd experts and their colleagues on the critical issues and challenges they face as a result of an increasingly demanding business and regulatory environment.”

 
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 Announces Program for Sixth Annual Client Conference in Hilton Head Island SC

RegEd Announces Program for Sixth Annual Client Conference in Hilton Head Island, SC

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce that the annual RegEd Compliance Alliance (RCA) client conference will be held in Hilton Head Island, SC, May 1-3, 2017.

RCA 2017 will provide 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 conference program is focused on the theme, Enabling a Culture of Compliance. “In this environment it’s not enough to ‘check the box’ on compliance obligations,” commented John M. Schobel, CEO & Founder of RegEd. “Regulators are increasingly evaluating firms on a deeper level, with an eye toward firm culture that goes beyond the letter of regulation. We’ve developed a conference program that will strengthen our clients’ ability to support and maintain a culture of compliance.”

Conference sessions will deliver the latest information and expert insights surrounding the industry’s evolving regulatory and compliance concerns in an educational and collaborative forum. Session topics will include FINRA, SEC, and State Insurance Department regulatory updates and enforcement trends; DOL fiduciary rule compliance; onboarding and contracting; conflicts of interest; and challenges, opportunities and best practices in managing regulatory change, policies and procedures, regulatory exams, and licensing and registration.

Registration is now open for the RegEd Compliance Alliance (RCA) Client Conference.

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.

Regulators and Industry Experts Address Key Trends and Challenges at Fifth Annual RegEd Compliance Alliance Conference

Regulators and Industry Experts Address Key Trends and Challenges at Fifth Annual RegEd Compliance Alliance Conference

Financial services compliance, licensing and registration, and operations professionals assembled at the fifth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and engage with regulators and industry experts. The event was held April 18-20 in Charleston, SC and was attended by more than 150 representatives from financial services firms, regulatory agencies, consultancies, and law firms. The conference focused on issues and topics of critical concern for the attendees, including:

  • The DOL Fiduciary Rule and its potential impact on the industry: The recently issued rulemaking expands the definition of “fiduciary” to include individuals who provide retirement investment advice to investors in Individual Retirement Accounts (IRAs) and other investment accounts not covered by the Employee Retirement Income Security Act (“ERISA”), requiring that investment advice be offered solely based on the best interest of the client. The rule will impact the retirement advice industry and change the manner in which advisors provide retirement recommendations to their clients and get paid for such advice. Significant compliance implications are expected in, among other areas, conflicts of interest disclosures, fee- vs. commission-based models, variable annuities and IRA sales, as well as potential customer account repapering requirements based on business decisions made by the firm.
  • Managing Conflicts of Interest: FINRA’s 2016 Regulatory and Examination Priorities Letter cited firm culture and effective conflicts of interest management as key areas of focus for 2016, and was followed by a February targeted exam letter that confirmed the attention of the regulator on the issue of “cultural values” and conflicts management. Efficiently managing conflicts of interest requires compliance professionals to understand and implement best practices for tracking, monitoring, and disclosing conflicts of interest, including outside business activities, gifts and entertainment, and political contributions. Firms must also establish rigorous internal controls for effective resolution of conflicts and risk mitigation.
  • Cybersecurity: Identified as a top criminal priority by the FBI, preventing cyber intrusions is at the forefront of consumer protection and security concerns in the financial services industry. Compliance and IT professionals must have the latest information related to issues of cybersecurity resources, compliance, risk analysis, policies and procedures, pitfalls, response plans, and best practices to help protect the organization and consumers from cyber threats.

Commenting on RCA 2016, John Schobel, RegEd Chief Executive Officer said, “It was wonderful to have our clients gather in beautiful historic Charleston to spend time with the RegEd team and hear from industry experts and regulators, who shared their insights and practical guidance.”  Schobel continued, “Equipped with new knowledge and best practices, conference participants are better prepared to tackle their most pressing challenges in today’s demanding business and regulatory environment.”

During the conference RegEd announced the expansion of RegEd SCORE® to include SCORE Rep Dashboard, which enables firms to provide registered representatives with a clear, consolidated view of individual compliance requirements. With SCORE Rep Dashboard firms can streamline compliance for the firm’s registered population, improve frontline defense against non-compliance exposure, and demonstrate a culture of compliance and commitment to consumer protection.

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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