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

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

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

The NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. The conference agenda will focus on new regulatory developments, enforcement trends, regulatory examinations, compliance best practices and the practical implementation of compliance policies and procedures.

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

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

Conflicts of Interest Management: Integrated solutions that enable firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population. Includes expanded, industry-leading capabilities to manage Gifts, Gratuities & Contributions.

Onboarding, Licensing and Registration: Unified solution is powered by an extensive compliance rules engine, and enables firms to seamlessly manage and track representatives’ licensing and registration, compliance and education requirements. Data-reuse, automatic validations, and complex hierarchy management simplify onboarding across distribution channels.

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

RegEd SCORE® Risk Control Center: Configurable compliance dashboards deliver clear, comprehensive views into the status of compliance requirements at the company level or specific to the individual.

RegEd is exhibiting at the conference and can be located at Booth #37 in the main exhibit hall of the Omni Shoreham Hotel. For more information on RegEd or its attendance at the 2017 NSCP National Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Features Solutions for Managing Regulatory Change Policies and Procedures Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd Features Solutions for Managing Regulatory Change, Policies and Procedures, Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers, banks and other financial services firms, is pleased to announce its participation in the NAFCU Annual Regulatory Compliance Seminar 2017, which was held in San Diego, CA, October 10-13, 2017.

The NAFCU Regulatory Compliance Seminar brings together CEOs, CFOs, and compliance and operations professionals for a program that discusses industry hot topics, regulatory updates and proposed regulations. The conference program is tailored to provide an understanding of how to conquer the latest challenges in credit union compliance. This year’s program included sessions such as: New TRID Amendments, Current Litigation Risks for Credit Unions, Social Media and Advertising Risks, Complaint Tracking and Management, HMDA and Fair Lending – Preparing for your Examinations, and Compliance and Cybersecurity.

“Credit unions are subject to a regulatory framework that has, in many instances, been designed for banks and other financial services firms that have greater capacity to absorb the demand of an increasing compliance burden,” stated Debra Freitag, Chief Strategy Officer at RegEd. “Speaking with attendees during the seminar confirmed that this challenge is top of mind. There is a need for compliance solutions that enable credit unions’ existing operations to be more efficient and able to scale to meet compliance requirements without increasing staff.”

During the seminar RegEd showcased a suite of enterprise compliance management solutions that enable credit unions to efficiently manage their compliance program:

Branch Audit Management: Fully plan, schedule, conduct, resolve and report on credit union branch audits; configured to reflect unique organizational hierarchy and business processes.

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides institutions with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

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

Policies and Procedures Management: Provides an enterprise workflow and task management solution that enables end-to-end management and oversight of policies and procedures, including approval, distribution, attestation and testing program management.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, please visit www.reged.com.

RegEd to Feature Enterprise Solutions for Managing Regulatory Change Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd to Feature Enterprise Solutions for Managing Regulatory Change, Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2017 in Seattle, WA, October 1-4, 2017.

The 30th AICP Annual Conference will host over 400 insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer more than 60 educational sessions including the evolving regulatory environment, cybersecurity, market conduct, ethics, and the future of technology in compliance roles. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators.

During the conference RegEd will showcase the CODE® Enterprise Compliance Management Platform. CODE supports an integrated suite of compliance management solutions, including:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

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

“Effective Consumer Complaint and Market Conduct Exam Management are critically interconnected cornerstones of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Insurers must manage them holistically, to mitigate the risk of inviting increased exams, while minimizing the negative impact of exams that occur, through comprehensive audit trails and methodical documentation of compliance.”

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

The RegEd conference exhibit will be located at booth #20 in the conference’s main exhibitor hall at the Sheraton Seattle Hotel. For more information on RegEd or its attendance at the AICP Annual Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, please visit www.reged.com.

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the American Counsel for Life Insurers (ACLI) Annual Conference 2017 in Orlando, FL, October 8-10, 2017.

The conference brings together senior executives from life insurance and financial services companies to examine today's business and political issues. The program features general sessions with industry-expert speakers and over 20 breakout sessions addressing legal, investment/financial, reinsurance, compliance, retirement security, advocacy, and legislative and regulatory issues. Also in attendance will be senior representatives from associated industries and financial services associations.

“An extended period of low interest rates coupled with an increasingly complex regulatory environment is driving life insurers to implement for-purpose compliance technology to reduce operational costs and strengthen their compliance posture with regulators,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Scores of RegEd clients have implemented our insurance compliance platform and solutions, to greatly reduce the cost and risk associated with managing the high volume of regulatory change they are subject to. Our clients, including the nation’s largest life insurers, tell us that they can ‘sleep at night’ knowing that technology has enabled them to eliminate compliance gaps and capture audit trails critical to demonstrating compliance.”

RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, market conduct examinations and advertising review. These solutions enable insurers to effectively and efficiently meet compliance obligations and proactively manage their compliance program:

Regulatory Change Management: Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Market Conduct Exam Management: Enables insurers 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.

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

For more information about RegEd and its enterprise compliance solutions, please 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.  For more information, please visit www.reged.com.

RegEd Named SILA 2017 Organization of the Year

RegEd Named SILA 2017 Organization of the Year

RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017.

John M. Schobel, RegEd CEO & Founder, stated, "On behalf of RegEd, I want to offer sincere appreciation to the committee at SILA for selecting us as the Organization of the Year. We have invested greatly into our Enterprise Xchange platform over the last decade, and especially over the past 24 months, and it’s extremely gratifying to have our innovations recognized. For example, our Alerts 2.0 module is keeping the credentials of hundreds of thousands of producers updated automatically, reducing effort and compliance risk exposure for our clients. Our new streamlined user interface will make processing faster and easier, saving time and reducing licensing costs. And our Onboarding modules for both insurance companies and broker-dealers are solving an age-old problem and making a better experience for firms and agents. RegEd’s mission is to bring efficiency and better compliance to our clients, and we couldn’t be happier to be recognized for these efforts.”

A number of RegEd compliance thought leaders and subject matter experts were also nominated for individual SILA awards during the conference. Brandi Brown, Senior Vice President of RegEd’s Regulatory Affairs Group, was nominated for the Bruce Saenger Education Award, which demonstrates a passion for insurance and/or securities related education topics: pre-licensing/pre-registration, continuing education, and professional development. Susan Boles, RegEd Senior Regulatory Compliance Analyst, was a nominee for the Robert Kennedy Appreciation Award, which demonstrates dedication in continuous volunteer service to SILA and the advancement of the SILA objectives and principles.

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 Organization of the Year Award demonstrates leadership and dedication in continuous service to the licensing/securities industries. Perhaps the most significant factor considered is the nominee’s dedicated advancement of the SILA objectives and principles: Promote and improve communication; Develop relationships with industry organizations, associations, licensing and registration departments and related organizations; Offer solutions to common licensing and registration problems; and Provide professional and technical education opportunities.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Compliance Thought Leaders to Participate in 28th Annual SILA National Education Conference

RegEd Compliance Thought Leaders to Participate in 28th Annual SILA National Education Conference

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 2017 SILA National Education Conference in Orlando, FL on Sept. 24-27, 2017.

The conference will provide over 25 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 the distinct honor of again being nominated for the SILA Organization of the Year Award. This nomination acknowledges years of leadership in the industry, committed partnership with SILA and support of its commendable charitable initiatives. RegEd has supported the SILA mission for nearly two decades and is proud to be a 2017 SILA Platinum Sponsor.”

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. Brandi Brown, Senior Vice President of RegEd’s Regulatory Affairs Group, is a nominee for the Bruce Saenger Education Award, which demonstrates a passion for insurance and/or securities related education topics: pre-licensing/pre-registration, continuing education, and professional development. Susan Boles, RegEd Senior Regulatory Compliance Analyst, is a nominee for the Robert Kennedy Appreciation Award, which demonstrates dedication in continuous volunteer service to SILA and the advancement of the SILA objectives and principles. In addition, Boles will co-anchor the SILA Morning News and be a panelist on the CE Adjusters – Building the CE Foundation, One Block at a Time session.

During the conference, RegEd will feature enterprise solutions for contracting/onboarding, credentialing management 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 8 and 9 will be located in the Crystal A-H Ballrooms of the Orlando World Center Marriott.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Recognized by SILA Foundation for Contributions to Education Advancement

RegEd Recognized by SILA Foundation for Contributions to Education Advancement

RegEd, the leading provider of Licensing and Registration technology solutions to the financial services industry, today announced that it will be recognized for its ongoing commitment to the advancement of education and support of the SILA Foundation, an education-focused non-profit organization. In commemoration of RegEd’s support, the SILA Foundation will issue an academic scholarship for 2017 in RegEd’s name. In addition, Ann Robinson of RegEd has been named Chair of the SILA Foundation Promotions Committee.

The scholarship will benefit a designated student with $2,500 for use at an accredited post-secondary college or university. It comes in recognition of RegEd’s 2016 financial contribution to the SILA Foundation charity and many years of supporting and participating in SILA activities, initiatives and events. RegEd has made a similar contribution to SILA for 2017, and will serve as exhibitor and sponsor during the 2017 SILA National Education Conference later this year.

“RegEd’s commitment to the SILA Foundation demonstrates our belief in the importance of investing in today’s youth for tomorrow’s future. The SILA Foundation continues to make a real impact in advancing financial literacy and providing educational opportunity for young students,” commented Ann Robinson, SVP Business Development at RegEd and Chair of the SILA Foundation Promotions Committee. “It’s an honor to be named Chair of the Promotions Committee, which will give me the opportunity to work hands-on with this great organization.”

The goal of the Promotions Committee is to increase awareness of the Foundation throughout the financial services industry and education institutions. The Committee reports directly to the Public Relations Trustee for the Foundation.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

About the SILA Foundation

The SILA Foundation is an educational non-profit 501(c)(3) corporation which was formed as the charitable sister corporation to SILA, Inc.  As a result, donations to the Foundation are tax deductible.  Our focus is education providing college scholarships, free educational webinars, and online educational courses which lead to a certification for those who don't attend SILA Educational Conferences and designation courses for people who do attend.  The Foundation is dedicated to assisting financial services industry professionals in the advancement of personal and professional skills. The Foundation provides access to educational opportunities and scholarships for current and aspiring insurance licensing and securities registration professionals. Please visit www.silafoundation.org for more information.

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

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 2017. The event will be held June 11-14 in Orlando, FL. 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 highly customized solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other solutions for the banking industry:

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

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

Employee Conflicts of Interest Management: Including Gifts and Gratuities, Outside Business Activities, Personal Securities Accounts, and Political Contributions. 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 Exam Management:  Streamline and automate the management of regulatory 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 is exhibiting at the conference and can be located at Booth 332 in the main exhibit hall of the Walt Disney World Dolphin Hotel. For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients across the financial services industry. 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 banks, insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd Reaches New Milestone with More than 250,000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform, representing 50% of the registered rep population across firms with over 100 reps. The firm has achieved this milestone through its unique capacity to support complex hierarchies and multidimensional approval processes. RegEd’s Enterprise Outside Business Activities / Compliance Questionnaires solution is used by hundreds of industry firms, including 80% of the top 25 broker-dealers. 

A module of RegEd’s fully integrated Conflicts of Interest Management Solution Suite, Outside Business Activities is the top choice among broker-dealers across the country, and a reason why RegEd is the highest volume FINRA Web EFT filer with more than 1 million transactions processed. To date, more than 3.5 million Outside Business Activities (OBA) and Compliance Questionnaire transactions have been submitted through the RegEd platform, on which more than 8 million active registrations and licenses are also managed.   

Outside Business Activities leverages RegEd’s powerful platform capabilities to facilitate the collection, analysis and reporting of critical compliance information in the precise format required by FINRA, and enables centralized management of OBA disclosures, attestations and amendments, workflow-directed task management, real-time validations and exception alerts and sophisticated hierarchy management. Outside Business Activities significantly reduces review time and facilitation of communications on specific requests, speeding the decision process. In addition, the solution seamlessly integrates with FINRA WebEFT, enabling registered representatives to affirmatively attest to the accuracy of their U4 data on file.

“With regulators increasing their focus on outside business activities tracking, it’s mission critical that firms employ technology to efficiently manage the end-to-end OBA process in a rep-friendly manner. RegEd worked with more than a dozen firms to build the most robust Enterprise Outside Business Activities solution available in the market with specific attention on a user-friendly rep front-end,” stated John M. Schobel, CEO & Founder, RegEd. “For our larger clients, RegEd’s ability to seamlessly manage their highly complex supervisory hierarchies has been paramount in their adoption of Enterprise Outside Business Activities.” 

Reaching this milestone confirms that the broker-dealer industry is increasingly relying on RegEd solutions to reduce non-compliance risk, eliminate time-consuming manual processes, and maintain good standing with FINRA regulations.

About RegEd, Inc.

RegEd, Inc. is a leading provider of enterprise 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 broker-dealers, insurers and other financial services firms.

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

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 about critical compliance and operational challenges and the best practice approaches for addressing those challenges." 

Mr. Schobel continued, "Conflicts of interest continues to be high on the radar of multiple regulators and we expect to see changes to FINRA’s Gifts, Gratuities and Non-Cash Compensation rules as a result of their proposed amendments. RegEd has invested significantly in addressing industry challenges in this area, and we will showcase RegEd’s enterprise-grade Gifts and Entertainment solution at the conference.”

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

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

Global Conflicts of Interest Management: Monitor, identify and remedy conflicts of interest and code of conduct issues across the firm’s supervised and employee populations.

Enterprise Gifts & Entertainment Management: Revolutionary advanced capabilities enable global enterprise gifts and entertainment tracking and management, including Concur® integration.

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.

Regulatory Change / Policies & Procedures Management: Delivers actionable regulatory updates and tracking of compliance obligations in a closed-loop process. Impacted policies are automatically identified.

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 #25 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, Inc. 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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