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OPTIMIZE COMPLIANCE. MANAGE RISK. ENABLE GROWTH.
The industry’s most comprehensive compliance management platform, trusted by more than 80% of top financial services firms.
HOW WE CAN HELP
Onboarding, Licensing
& Registration
The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners.
Compliance
Management
Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.
Regulatory Change
Management
Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures.
Education &
Training
The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.
INDUSTRY LEADERSHIP
1,000+
Clients, including 200 enterprise clients, comprising the nation’s top financial services firms
1.6M+
End users in broker-dealers, insurance companies and brokers
13M+
Active licenses and registrations managed
4M+
Sales campaigns and marketing pieces submitted for compliance review
300,000+
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.
INSURANCE COMPANIES
Manage compliance with State DOI requirements, licensing and appointments transactions, continuing education and more.
BROKER-DEALERS
Manage FINRA compliance, conflicts of interest, training and more for broker-dealers, investment advisers and other securities firms.
BANKS
Identify highly effective and cost-efficient strategies to manage compliance for banks, credit unions and other financial institutions.
OTHER INDUSTRIES
Manage compliance and code of conduct in highly regulated industries. We also partner with self-insured employers to manage adjuster licensing and related processes.
“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
FEATURED RESOURCES
Thought leadership from industry and RegEd subject matter experts.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
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.
AITE-NOVARICA REPORT: Distribution Channel Management: Insurance CIOs Focus on Improving the Onboarding Experience
This report presents and discusses the findings of interviews with ten life, annuity, and property/casualty insurance carriers that varied in size between midsize and large.
CONTACT US
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.