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: 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.

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.

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