HOW WE CAN HELP
Clients, including 200 enterprise clients, comprising the nation’s top financial services firms
End users in broker-dealers, insurance companies and brokers
Active licenses and registrations managed
Sales campaigns and marketing pieces submitted for compliance review
State Licensing, Appointment, CE and Registration Rules, Maintained by RegEd’s Regulatory Affairs Team
WHO WE SERVE
RegEd serves more than 200 enterprise clients, comprising the nation’s largest firms in financial services and beyond.
Manage compliance with State DOI requirements, licensing and appointments transactions, continuing education and more.
Manage FINRA compliance, conflicts of interest, training and more for broker-dealers, investment advisers and other securities firms.
Identify highly effective and cost-efficient strategies to manage compliance for banks, credit unions and other financial institutions.
“With RegEd our technology will deliver the resources and capabilities to enable the continued success of our business. RegEd was selected because they have the most comprehensive solution to address our broad spectrum of compliance requirements.”
– Chief Compliance Officer, Tier-1 Broker-Dealer
Thought leadership from industry and RegEd subject matter experts.
WEBINAR: Onboarding in the Digital Age / Insurance Leaders Panel
Senior business leaders discuss challenges and opportunities facing the insurance industry in the context of these changing times – including digitization of insurance; M&A and consolidation; economic uncertainty; competitive pressures; advances in technology; and of course, more regulation.
CELENT REPORT: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
RESOURCE CENTER: SEC’s Modernized Marketing Rule
RegEd has compiled resources on the new marketing rule, its impact on the industry, and how firms can prepare so that investment advisers can reduce non-compliance risk while growing their business.
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.