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ON-DEMAND WEBINAR
FINRA’s 2021 Examination and Risk Monitoring Program Report
Understanding the Report and Implications for Your Compliance Program
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REGULATORY UPDATES
COVID-19: Regulatory Activity Resource Center
The latest developments, including how they impact your business and compliance obligations
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NEWS
RegEd Recognized as a Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook
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WEBINAR
On-Demand Webinar
FINRA’s 2021 Examination and Risk Monitoring Program Report
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Webinar
On-Demand Webinar
Understanding and Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
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Case Study
Case Study: CUNA Mutual Group
Maintaining Effective Compliance Oversight Amid COVID-19
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NEWS
RegEd Recognized as a Leading Compliance Technology Provider
by CIO Review and Banking CIO Outlook
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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 Completes Acquisition of ComplianceMAX and FIRE Continuing Education businesses from National Regulatory Services (NRS)
RegEd today announced that it has completed the acquisition of ComplianceMAX and FIRE Continuing Education businesses from National Regulatory Services (NRS). These additions will expand RegEd’s capabilities and meet the needs of the broker dealer industry so they can be compliant with FINRA and SEC rules and regulations. NRS is owned by Accuity, part of RELX. The acquisition is expected to close on January 8, 2021.
Read more…
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Celent Report on Employee Conduct and Conflicts of Interest in the Financial Services Industry Published
RegEd is pleased to announce the publication of a new analyst report, “Keeping a Grip on Employee Conduct and Conflicts of Interest,” from research and consulting company Celent. The report provides an overview of the current landscape surrounding employee conduct and conflicts of interest management, as well as the best practices, processes and technology that firms can leverage to optimize compliance and reduce risk.
Read more…
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RegEd Announces Expansion of Enterprise Compliance Platform with Gifts, Gratuities and Contributions Management
RegEd has announced the expansion of its Enterprise Compliance Management platform to address the requirements associated with gifts, gratuities and contributions management. The all-new enterprise solution is the industry’s only for-purpose technology for the submission, approval, tracking and reconciliation of gifts, entertainment, non-cash compensation and political contributions.
Read more…
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Featured Resources
ON-DEMAND WEBINAR: FINRA’s 2021 Examination and Risk Monitoring Program Report
This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of FINRA’s 2021 Report on Examination and Risk Monitoring Program, as well as practical insight to help firms shape their compliance and business operations. -
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
Client Testimonial: Regulatory Change Management
Learn how RegEd’s Regulatory Change Management solution has streamlined the end-to-end process of tracking and managing relevant regulatory changes for a leading insurance company.