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, […]
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Risk Monitoring
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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagRegEd 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 […]
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