RegEd Thought Leader Awarded 2019 SILA Bruce Saenger Award

Award acknowledges a passion for insurance and/or securities related education topics.

RegEd, the leading provider of compliance technology solutions to the financial services industry, participated in the 2019 SILA National Education Conference in San Diego, CA on Sept. 15-18, 2019. During the conference Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, was awarded the 2019 Bruce Saenger Education Award, which is presented to an individual who demonstrates a passion for insurance and/or securities related education topics including pre-licensing/pre-registration, continuing education, and professional development.

Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, stated, “I want to offer sincere appreciation to the committee at SILA for selecting me as the recipient of this year’s Bruce Saenger Education Award. I cannot express how grateful I am to have been nominated by my peers for this award.” Brown continued, “At RegEd we have been avid supporters of SILA and their mission for decades and look forward to our continued partnership with the organization and its members.”

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 Bruce Saegner Award demonstrates a passion for insurance and/or securities related education topics: pre-licensing/pre-registration, continuing education, and professional development. Bruce Saenger was a long time member of SILA who had a passion for the insurance industry in particular, education and professional development. Bruce actively participated in the SILA Education Committee and was subsequently elected to chair the Committee as Education Director. He shared his talents and passion for education with the SILA Foundation where he led the development of the current SILA Certification Program.

A number of RegEd compliance thought leaders and subject matter experts participated in sessions at SILA 2019. Margie Webber, Governance Chair on the SILA Board of Directors and a Senior Member of RegEd’s Regulatory Affairs Group, facilitated the Securities Open Forum discussion, led the NASAA Task Force meeting, and moderated the Legislative Update Panel. Kaitlyn Small, Regulatory Specialist at RegEd, was a panelist on the Navigating the Choppy Waters of Adjuster Licensing session and Michael Pouliot, SVP of Sales at RegEd, was a panelist on the The Impact of Technology on Insurance & Securities Distribution session.

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.

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RegEd to Participate in 2019 FINRA Advertising Regulation Conference and Host Client Advisory Board

Client Advisory Board will provide important forum for RegEd’s enterprise Advertising Review solution product roadmap and future innovation.

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, including the industry-leading Advertising Review solution, announced its participation in the 2019 FINRA Advertising Regulation Conference in Washington, DC, on October 24-25, 2019.

FINRA’s Advertising Regulation Conference provides a forum to learn about practical changes and new developments involving communications rules, and the opportunity to gain guidance on the advertising standards from industry and FINRA experts. The comprehensive agenda is designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.

 “In today’s evolving industry, managing the advertising review, approval and document management processes can present significant challenges for financial services firms,” stated Kevin Goodman, RegEd’s Advertising Review Product Manager. “The process must fully address compliance requirements pursuant to FINRA Rule 2210 and other customer communication regulations, while facilitating a seamless review process that enables all stakeholders to increase the quality and effectiveness of the firm’s marketing communications, while speeding time to market.”

Goodman continued, “The FINRA Advertising Regulation Conference provides an important forum for regulators, industry firms and solution providers, like RegEd, to engage in dialogue about evolving regulation and solving the related compliance and operational challenges.”

Prior to the start of the conference, RegEd will host its Advertising Review Client Advisory Board (CAB).  The CAB will focus on best-practice implementation of recent and upcoming enhancements to RegEd’s Advertising Review Enterprise solution, while providing an important forum for RegEd’s Advertising Review product roadmap and future innovation.

The RegEd booth #9 will be located in the main exhibit hall of the Renaissance Washington, DC Downtown Hotel. For more information on RegEd or its attendance at the 2019 FINRA Advertising Regulation 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.

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RegEd to Showcase Enterprise Compliance Solutions at 2019 NSCP National Conference

Enterprise solutions for managing compliance obligations associated with conflicts of interest, advertising review, branch audits, and licensing and registration will be showcased at the event.

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2019 National Society of Compliance Professionals (NSCP) National Conference in Baltimore, MD, on October 21-23, 2019.

The NSCP National Conference offers more than 80 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year, the conference agenda will focus on new regulatory developments, enforcement trends, compliance best practices, and the benefits of diversity and inclusion.

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. Learn More.

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. Learn More.

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. Learn More.

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. Learn More.

RegEd is exhibiting at the conference and can be located at Booth #8 in the main exhibit hall of the Hilton Baltimore. For more information on RegEd or its attendance at the 2019 NSCP National 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.

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RegEd to Showcase Enterprise Compliance Management Solutions at AICP Annual Conference 2019

The event will bring together senior insurance compliance professionals, regulators and industry thought leaders to discuss key issues facing the industry.

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 2019 in Denver, CO, Sept. 22-25, 2019.

The 32nd AICP Annual Conference will host hundreds insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer regulator roundtables and more than 70 educational sessions including the evolving regulatory environment, fiduciary standards, cybersecurity and market conduct. 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 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. Learn more.

Policies and Procedures Management. Fully manage the development, approval cycle and management of policies and procedures across their lifecycle. Learn more.

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

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. Learn more.

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 #16 in the conference’s main exhibitor hall at the Hyatt Regency. 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 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.

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RegEd Compliance Thought Leaders to Participate in 30th 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 2019 SILA National Education Conference in San Diego, CA on Sept. 15-18, 2019.

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.

A number of RegEd compliance thought leaders and subject matter experts will participate in sessions and are nominated for SILA awards. 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, lead the NASAA Task Force meeting, and will moderate the Legislative Update Panel. Brandi Brown 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.

Kaitlyn Small, Regulatory Specialist at RegEd, is a panelist on the Navigating the Choppy Waters of Adjuster Licensing session on Monday, Sept. 16th that will discuss the pain points of adjuster licensing and how the industry and state side handle these issues, and what can be done to make the entire process easier. Also on Monday, Michael Pouliot, SVP of Sales at RegEd, is a panelist on the The Impact of Technology on Insurance & Securities Distribution session that will focus on how technology can improve the agent/advisor experience and efficiency.

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 29 and 30 will be located in the exhibitor pavilion of the Sheraton San Diego Hotel & Marina.

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.

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RegEd to Showcase Enterprise Compliance Solutions at the CEFLI Annual Conference & Compliance Leadership Forum

Attendees will have the opportunity to learn how RegEd enables clients to proactively manage their compliance programs to improve efficiency and reduce risk.

RegEd, the leading provider of compliance technology to the financial services industry, is pleased to announce its participation at the 2019 CEFLI Annual Conference & Compliance Leadership Forum, held September 11-13 in Nashville, TN. RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, consumer complaints, and market conduct examinations:

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.

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.

For more information on RegEd or its attendance at the CEFLI Annual Conference & Compliance Leadership Forum, 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.

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State of Employee Conduct Management and Policy Governance

JOIN US:

We’d like to invite senior compliance, risk and ethics officers at large banks and financial services firms to an upcoming roundtable to discuss best practices in employee conduct management and policy governance. These informative, free events will be hosted by internationally renowned GRC expert Michael Rasmussen.

Register for an event near you:

New York City | Thursday, September 19 | 3:00 PM – 6:00 PM EDT | Register Now

Charlotte, NC | Tuesday, October 8 | 3:00 PM – 6:00 PM EDT | Register Now

Leading the way for change: Creating a culture of compliance

Upholding ethical standards and creating a culture of compliance has never been more important for U.S. banks, yet there continues to be headlines about ethical missteps.

According to Deloitte, banking and financial services is the least trusted sector globally. Meanwhile, since the financial crisis, banks have paid hundreds of millions of dollars in conduct-related fines. Cultivating good conduct and culture is crucial to winning back trust, satisfying customers, creating a sustainable business and improving the bottom line. Instilling a strong compliance culture and sales practice as well as conduct risk oversight is critical to engendering consumer trust and avoiding financial and reputational consequences.   

So how can financial institutions make sure they avoid potential ethics and compliance pitfalls? Organizations need to leverage technology that embeds internal process governance and enables oversight by compliance and risk stakeholders to drive accountability. Let’s take a look at some specific areas of sales practice and conduct risk management that banks should consider:

Advertising & Marketing Review: When we look at marketing and advertising as it relates to compliance, everything a bank states in customer communications must be properly vetted – whether it is in print, digital, or a face-to-face communication between a banker and a customer. Major U.S. regulatory agencies have cited sales practices and conduct as key areas of examination focus. Even a misstated word by a contact center employee, such as not disclosing all the required information about the terms of a loan, can be a compliance violation. Every item of printed material about a deposit product must include all of the disclosures required by multiple regulating agencies.

Further, disparate subcultures within an organization can have different – or even competing – attitudes when it comes to marketing promotions. This is why advertising and marketing practices need to be systematized in order to ensure that sales and marketing campaigns are launched compliantly.

Approvals, Disclosures & Attestation Management: Everyone must be aware of their ethical obligations as they pertain to their individual role; some have higher levels of compliance accountability than others. Employees must receive the appropriate approvals for a wide range of specific conduct, such as instances where gifts and entertainment are involved; personal trading; outside business activities; as well as making sure that individuals in certain roles (such as those selling securities products) are making the needed disclosures as required by the bank’s code of conduct and regulatory requirements.  

Technology can play a key role in routing approvals for such actions by systematizing processes pertaining to employee accountability and oversight of that accountability.

Even the slightest detail falling through the cracks could spell significant consequences for the bank.  Institutionalizing the process of obtaining approvals by incorporating workflow technology to route requests for approval, in a defined sequence, to the proper stakeholders is critical.

Attestations should also be automatically captured, recorded and stored to serve as a “single source of truth” for all employee approval requests and self-reported conduct. These records should be easily accessible in order to be responsive to regulator requests and examinations.

Audit trails are also an important byproduct of technology. These enable the bank to provide documentation to regulators and other stakeholders, further demonstrating a strong commitment to an ethical and compliance-driven culture.

Compliance surveys:  Self-assessment plays a key role in managing conduct risk. All personnel must demonstrate that they are aware of and complying with the institution’s code of conduct. This can be done with the use of both role-specific and organization-wide compliance surveys. 

Manual data-gathering around such surveys can be inefficient and prone to gaps; but utilizing technology that automates data collection, as well as analysis and reporting, ensures that there is always a clear view – and audit trail –  of all disclosures and “read and understood” attestations. Further, compliance officers can use this data to identify potential areas of conduct risk and prioritize remediation.

Policies and Procedures Management. Since the regulatory landscape is always changing, bank policies and procedures are frequently updated to reflect those changes. But relying on a manual process for creating, approving, managing and distributing policy updates can be fraught with risk. Knowing every employee, their role, what policies they must follow, and what their responsibilities are, can be a difficult task. Take branch policies, for example; everyone from tellers, to mortgage specialists to managers and all others working in a branch must understand the policies that pertain to their specific role in the branch and abide by them.

Managing policies and procedures in a centralized manner will ensure a single, consistent, and current set of policies and procedures throughout the bank. And, distributing those policies and procedures on a role-specific basis, greatly increases the opportunity for adherence.  Compliance officers can also rest easy knowing attestations have been collected from every employee for every policy or policy manual that was received.

At RegEd, we have focused on developing bank-purposed enterprise compliance technology that addresses critical sales practices, conflicts of interest and other code of conduct requirements including marketing and advertising review, organization-wide compliance surveys, approval, disclosure and attestation management solutions and policies management tools.

Don’t forget to register

These are just a few pressing items that are dominating the compliance space. Interested in learning more about the latest trends, challenges and operational best practices? Don’t forget toregister for an upcoming roundtable and the opportunity to network with like-minded compliance professionals.

Register for an event near you:

New York City | Thursday, September 19 | 3:00 PM – 6:00 PM EDT | Register Now

Charlotte, NC | Tuesday, October 8 | 3:00 PM – 6:00 PM EDT | Register Now

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Celent Recognizes RegEd with 2019 XCelent Customer Base Award

Award identifies RegEd’s Xchange as the leading solution in the distribution management space.

RegEd, the leading provider of compliance technology to insurance companies, broker-dealers and banks, today announced that Celent, a leading research and consulting firm, has awarded RegEd the 2019 XCelent Customer Base Award for its market-leading Enterprise Licensing and Registration solution, Xchange. The findings were published in the Celent Distribution Management System Vendors – North America report.

The XCelent Awards aim to assist financial institutions and technology providers in staying well-informed on industry trends by providing in-depth research and evaluation of the vendor marketplace and recognizing providers who excel in a set of defined categories. Celent uses extensive criteria in their methodology for assigning awards, including comprehensive analysis of the technology, client interviews and user feedback. RegEd’s Xchange was recognized with the Customer Base award, which is given to the leading solution in the market based on the widest adoption among the industry’s largest firms.

Mike Fitzgerald, Senior Analyst at Celent, said, “In judging the Customer Base award, Celent looks at multiple factors, including the number of insurers using a solution, the distribution of implementations across the size of firms, and use in different lines of business.” Fitzgerald continued, “This evaluation methodology recognizes not only the count of installations, but also considers their breadth and complexity. Companies recognized with the award, such as RegEd, are successful in varied environments in numerous insurers.”

RegEd CEO & Founder John M. Schobel said, “We are honored to receive this award and to be recognized as the leader in our market. The client testimony in the report affirms our ongoing investment in the Xchange solution and our dedication to continuously increasing the value that we deliver to our clients.” Schobel continued, “We are grateful to Celent for illuminating key industry trends, challenges and opportunities in this report, which enables industry participants to make informed, evidence-based decisions when choosing technology that is so integral to their business.”

RegEd’s Xchange Enterprise Licensing and Registration solution enables firms to seamlessly execute the complex processing requirements associated with managing and tracking representatives’ licensing, registration and compliance and product education credentials. For more information, please 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.

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RegEd to Sponsor ACLI Compliance & Legal Sections Annual Meeting

Attendees will also have the opportunity to learn how RegEd enables clients to proactively manage their compliance programs to improve efficiency and reduce risk.

RegEd, the leading provider of compliance technology to the financial services industry, will be a supporting partner sponsor at the upcoming ACLI Compliance & Legal Sections Annual Meeting 2019, held July 15-17 in Fort Lauderdale, FL. RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, consumer complaints, and market conduct examinations:

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.

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.

For more information on RegEd or its sponsorship at the ACLI Compliance & Legal Sections Annual Meeting, 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.

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RegEd to Showcase Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2019

Solutions for managing employee code of conduct, regulatory relations and exams, policies and procedures, audits and other core compliance processes will be showcased at the event

Raleigh, NC, May 24, 2019 – 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 2019. The event will be held June 9-12 in New Orleans, LA. 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 bank-purposed solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other integrated, for-purpose solutions for banks:

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

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

Employee Code of Conduct Management: Including Gifts and Gratuities, Outside Business Activities, and Personal Securities Accounts. 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 Relations and Exam Management: Streamline and automate the management of regulatory relations and 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 representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable banks to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #212 in the conference’s main exhibitor hall at the Hyatt Regency New Orleans. For more information on RegEd or its attendance at the ABA Regulatory Compliance 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.

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