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NEWS
RegEd Recognized as a Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook
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EXECUTIVE BRIEF
Marketing and Advertising:
The Compliance Factors All Banks Need to Consider
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WEBINAR
On-Demand Webinar
An Overview of Standards of Conduct in the Financial Services Industry
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RegEd Recognized as Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook
OPTIMIZE COMPLIANCE. MANAGE RISK. ENABLE GROWTH.
Proven Enterprise Solutions
RegEd delivers a comprehensive platform for managing compliance, licensing and registration, conflicts of interest
and continuing education through a unified enterprise technology solution.
Enterprise Compliance Management Solutions
RegEd compliance management solutions enable firms to effectively and efficiently meet compliance obligations, proactively manage their compliance program and mitigate risk.
Enterprise Conflicts of Interest Solutions
RegEd’s fully integrated COI suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Compliance Education & Product Training Solutions
Fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal obligations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Xchange Enterprise Solution Suite
The Xchange Licensing and Registration Solution Suite, powered by the RegEd Enterprise Platform, is the industry’s only unified licensing and registration platform, relied on by more than 150 financial services firms.
Enterprise Compliance Management Solutions
RegEd compliance management solutions enable firms to effectively and efficiently meet compliance obligations, proactively manage their compliance program and mitigate risk.
Enterprise Conflicts of Interest Solutions
RegEd’s fully integrated COI suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Compliance Education & Product Training Solutions
Fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal obligations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Xchange Enterprise Solution Suite
The Xchange Licensing and Registration Solution Suite, powered by the RegEd Enterprise Platform, is the industry’s only unified licensing and registration platform, relied on by more than 150 financial services firms.
Enterprise Compliance Management Solutions
RegEd compliance management solutions enable firms to effectively and efficiently meet compliance obligations, proactively manage their compliance program and mitigate risk.
Enterprise Conflicts of Interest Solutions
RegEd’s fully integrated COI suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues.
Compliance Education & Product Training Solutions
Fulfill compliance education and product training requirements to build critical knowledge and satisfy industry, state and federal obligations.
RegEd SCORE® Risk Control Center
SCORE integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise.
Xchange Enterprise Solution Suite
The Xchange Licensing and Registration Solution Suite, powered by the RegEd Enterprise Platform, is the industry’s only unified licensing and registration platform, relied on by more than 150 financial services firms.
WHO WE SERVE
Industries
Securities Firms Learn More
Banks Learn More
Insurance Companies and Brokers Learn More
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FEATURED CASE STUDY
1st Global powers its enterprise technology initiative.
Download this case study to learn how 1st Global partnered with RegEd to drive a company-wide initiative to strengthen their compliance program through the introduction of advanced compliance and operations technology.
FEATURED UPDATES
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RegEd Recognized as a Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook
CIO Review and Banking CIO Outlook, prominent publications for information technology executives, have selected RegEd as one of the 20 Most Promising Compliance Technology Providers and one of the Top 10 Risk and Compliance Solution Providers for 2019.
The annual awards acknowledge companies that are at the forefront of providing compliance and risk solutions while significantly impacting their industries.
Read more…
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RegEd CEO and Founder to be a Featured Presenter at FSI OneVoice 2020
RegEd is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Diego, CA, January 27-29, 2020.
RegEd Founder and CEO, John M. Schobel, will present during the session Improving Branch Exams, which will cover how branch exams and field audits can be made more beneficial and impactful for both the firm and the registered representative.
Read more…
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RegEd Hosts Policy Management by Design Workshop in Chicago
Workshop attendees explored how defining the right process, information and technology architecture for policy management can create a structured approach to how the organization operates. Attendees were equipped to define a process lifecycle for managing policies, establish policy ownership and accountability, track policy attestation, and map policies to objectives, risks, controls, issues, and other GRC areas.
Read more…
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Featured Resources
Webinar: AN OVERVIEW OF STANDARDS OF CONDUCT IN THE FINANCIAL SERVICES INDUSTRY
This webinar highlights the enduring trend of regulators focusing on establishing standards of conduct intended to preserve the best interest of investors, increase transparency in the advisor/client relationship, and clarify fiduciary responsibilities. -
Featured Resources
Case Study: 1st Global
Learn how 1st Global partnered with RegEd to drive a company-wide initiative to strengthen their compliance program through the introduction of advanced compliance and operations technology. -
Featured Resources
Video: RegEd Solutions for Banks
Learn how RegEd helps banks identify highly effective and cost-efficient strategies to manage compliance across the enterprise.