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It is certain, in any case, that ignorance, allied with power, is the most ferocious enemy justice can have.
– James Baldwin
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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 Announces COVID-19 Resource Center
RegEd has established the RegEd COVID-19 Resource Center, which aggregates regulatory activity impacting the financial services industry, related to the scope of regulations that RegEd products and services cover. The site will support industry firms’ ability to manage the influx of new regulatory activity resulting from the COVID-19 pandemic.
Read more…
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RegEd Hosts Virtual CCO Roundtable on Compliance Challenges During COVID-19
RegEd Founder and CEO, John M. Schobel, was joined by a panel of Chief Compliance Officers and compliance leaders to discuss the crisis confronting our industry and its impact on distribution, operations and compliance programs. Panelists shared both challenges and best practices.
View now…
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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
VIRTUAL ROUNDTABLE: BROKER-DEALER COMPLIANCE CHALLENGES DURING THE PANDEMIC
This webinar features a panel of Chief Compliance Officers and compliance leaders to discuss the crisis confronting our industry and its impact on distribution, operations and compliance programs. Panelists shared both challenges and best practices. -
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.