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FINRA Annual Conference

RegEd to Showcase Enterprise Platform Solution at 2019 FINRA Annual Conference

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

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

FINRA’s annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today’s evolving industry with interactive forums led by experienced industry veterans and regulators. The conference will offer a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

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

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

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #13 in the conference’s main exhibitor hall at the Marriot Marquis Washington, DC. For more information on RegEd or its attendance at the FINRA Annual conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

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

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

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

Madelyn Matthews
919-653-5202
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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.

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RegEd to Participate in SIFMA C&L Annual Seminar 2019

Annual Seminar is the premier event for compliance and legal professionals in the financial services industry

Raleigh, NC, March 18, 2019 – RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Annual Seminar in Phoenix, AZ, March 24-27, 2019.

The SIFMA Compliance & Legal Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. The three-day seminar provides a unique opportunity for industry leaders and regulators to gather, network and collaborate. Attendees will benefit from over 60 in-depth breakout sessions and noted keynote speakers, participants will be emerged in the latest industry developments and best practices.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

RegEd SCORE® Risk Control Center: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.

Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.

Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.

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 in the conference’s main exhibitor hall at the JW Marriott Phoenix Desert Ridge. For more information on RegEd or its attendance at the SIFMA C&L Annual Seminar, 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.

RegEd to Participate in ARM Annual Conference 2019

Conference connects attendees with the latest industry trends and Licensing and Registration best practices from subject matter experts and industry regulators

Morrisville, NC, Feb. 27, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the Association of Registration Management, Inc. (ARM) Annual Conference in Amelia Island, FL, March 4-6, 2019.

The ARM Annual Conference is a three-day educational event focused on issues and developments surrounding the registration and licensing functions for the securities and insurance industries. Attendees will benefit from in-depth educational sessions covering topics such as state enforcement trends and updates from FINRA on its CRD functionality and continuing education programs. Presenters and panelists will include senior leaders from Compliance, Education, Registration and Licensing, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

Xchange Enterprise Licensing and Registration: Enables firms to seamlessly execute the complex processing requirements associated with managing and tracking representatives’ licensing, registration and compliance and product education credentials.

OBA Management and Reconciliation: End-to-end OBA tracking and reporting. FINRA integration facilitates online filing and reconciliation of U4 amendments.

Registered Rep Onboarding: Eliminates manual oversight of the onboarding process and speeds time-to-market for new reps.

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 representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss significant developments in licensing and registration technology that can help firms increase efficiency and help to mitigate non-compliance risk. 

The RegEd conference exhibit will be located in the conference’s main exhibitor hall at the Ritz-Carlton Amelia Island. For more information on RegEd or its attendance at the ARM Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

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

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

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

Madelyn Matthews
919-653-5202

RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference

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

Raleigh, NC, Jan. 25, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in New Orleans, LA, January 28-30, 2019.

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 conflicts of interest, cybersecurity, technology, outside business activities and new regulatory developments. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts.

During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

RegEd SCORE® Risk Control Center: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.

Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.

Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.

John M. Schobel, Chief Executive Officer at RegEd, commented, “The need for a holistic view of compliance and risk is the key driver causing industry firms to consolidate compliance technology in favor of an enterprise approach. RegEd’s enterprise compliance platform and wide breath of compliance solutions enable our clients to establish a central compliance portal that provides their advisor and employee population with a full view of compliance requirements and status while providing the firm with the critical views needed to reduce overall risk for the firm.”

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 #212 in the conference’s main exhibitor hall at the New Orleans Marriott. For more information on RegEd or its attendance at the FSI OneVoice conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

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

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

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

Madelyn Matthews
919-653-5202

Gryphon Investors to Acquire RegEd, Inc.

Gryphon Investors (“Gryphon”), a San Francisco-based middle-market private equity firm, today announced that it has signed a definitive agreement to acquire RegEd, Inc. (“RegEd” or “the Company”), the leading provider of compliance and regulatory management services for insurance companies, broker-dealers, banks, and other financial services companies. Founder and CEO John Schobel and other members of RegEd’s management team, as well as current majority owner Falfurrias Capital Partners, will retain an equity ownership in the Company. Mark Schlageter, Gryphon Executive Advisory Board Member and former Thomson Reuters Chief Customer Officer, will be the Chairman of RegEd. The transaction closed on December 20, 2018 and financial terms were not disclosed.

Founded in 2000 and headquartered in Raleigh, North Carolina, RegEd provides SaaS-based enterprise solutions through a suite of over 25 separate software modules to more than 200 blue-chip customers, including 80% of the top 25 financial services firms. RegEd’s comprehensive suite of compliance automation, regulatory change management, and licensing and registration software solutions is focused on the broker-dealer, insurance, and banking end markets, and has broader corporate compliance applications as well.

Alex Earls, Partner and head of the Business Services Group at Gryphon, said, “RegEd is a strong fit with our ongoing initiative focused on investing in market leading businesses within the Governance, Risk, and Compliance (“GRC”) sector. John Schobel and his management team have built a high-quality business and we are excited to partner with them to support the Company’s continued growth both organically and through acquisitions.”

Mr. Schlageter, who has partnered with Gryphon since 2017 and is a recognized expert in GRC SaaS, added, “RegEd has consistently proven that it drives discernible value with its customers via technological approaches to compliance that are cutting edge. RegEd’s mission critical workflow-embedded solutions provide customers a positive ROI, resulting in high levels of customer stickiness and a strong platform for future innovation and growth. I very much look forward to working with John Schobel and his team.”

Mr. Schobel stated, “We are very excited for RegEd’s next phase. Gryphon has a demonstrated legacy of partnering with its portfolio companies to help them successfully achieve their next stage of growth. With nearly 20 years of creating solutions to help our clients manage compliance, mitigate risk, and drive efficiency in their operations, we know there is an even greater opportunity to serve our clients and industry. Gryphon is the ideal partner to help us achieve that vision.”

Evercore and Baird served as financial advisors to Gryphon and Raymond James acted as the exclusive financial advisor to RegEd. Morrison & Foerster, LLP acted as the legal advisor to Gryphon and McGuire Woods acted as the legal advisor to RegEd.

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. For more information, please visit www.reged.com.

About Gryphon Investors
Based in San Francisco, Gryphon Investors (www.gryphoninvestors.com) is a leading private equity firm focused on profitably growing and competitively enhancing middle-market companies in partnership with experienced management teams. The firm has managed over $4.5 billion of equity investments and capital since 1997. Gryphon targets making equity investments of $50 million to $200 million in portfolio companies with sales ranging from approximately $100 million to $500 million. Gryphon prioritizes investment opportunities where it can form strong partnerships with owners and executives to build leading companies, utilizing Gryphon’s capital, specialized professional resources, and operational expertise.

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Advertising Review: Is Your Marketing Collateral Review Process 17a-4 Compliant

Is Your Marketing Collateral Review Process 17a-4 Compliant?

RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements.

Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule 17a-4 mandates it must be archived in the proper format to meet compliance standards.

Write Once Read Many (WORM)

WORM describes a data storage device in which information, once written, cannot be modified, overwritten or deleted. This write protection affords the assurance that the data cannot be tampered with once it is written to the device.

The SEC defines which books and records to WORM such as purchase and sale documents, customer records, associated person records, customer complaints, and certain other matters. Additionally Rule 17a-3 and Rule 17a-4 specify minimum requirements with respect to these records that broker-dealers must make, and how long those records and other documents must be kept. 

Designated Third Party (D3P)

Broker-Dealers are required to have at least one Designated Third Party (D3P) Compliance Provider for each electronic records archive. RegEd’s D3P service bridges the compliance gap.

D3Ps agree that in the event of the failure or inability of the Broker-Dealer to download requested records, they will undertake that effort to provide to the requesting regulatory or legal body. As your designated D3P provider, RegEd will take the lead on providing the records it holds for you as your WORM storage provider and supply them to regulators if you cannot do so.

Penalties for Non-Compliance

It’s concerning how many firms fall into non-compliance with existing regulations. FINRA is becoming more and more focused on imposing fines and penalties. In 2017 FINRA fined 12 firms for a total of $14.4 million for, “…significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration.”

In a statement about the sanctions, the SEC pointed to the importance of record keeping in protecting investors, saying that records are the “primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards.” FINRA further explains how WORM storage is critical due to the increased volume of sensitive data being stored electronically.

WORM Compliance with Advertising Review

RegEd offers a robust, scalable, and configurable WORM storage solution that enables firms to fulfill their books and records obligations.

RegEd’s Advertising Review WORM storage device offers the ability to automate retention events and periods based upon workflow configuration within the application to ensure your data is captured at the required points of submission, revision and approval. Once deployed with your firm, no additional steps must be taken to ensure your data is sent to the WORM storage device with its appropriate metadata and attachments. 

Even if your firm’s marketing team uses a different front-end to create content, Advertising Review can easily integrate with APIs to automatically push content to the compliance review process where final approved files can be properly stored in a WORM compliant format.

Stay Compliant

Using a product like RegEd’s Advertising Review ensures firms interweave compliance within their processes. Compliance is always more cost effective & protective of your business reputation than alternative fines and sanctions. Firms that research, understand, and apply best practices in their marketing collateral review process avoid negative publicity and profit-loss.

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.

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