RegEd to Showcase Solutions That Enable a Culture of Compliance at the 2016 NSCP National Conference
RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2016 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-19, 2016.
The NSCP National Conference offers more than 70 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. The conference agenda will focus on new regulatory developments, enforcement trends, regulatory examinations, compliance best practices and the practical implementation of compliance policies and procedures. There will also be a significant focus on the recent DOL fiduciary rule and its implications for the industry.
RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions, and discuss the ways in which they support a robust culture of compliance:
DOL Fiduciary Rule Compliance: Courses that enable firms to effectively train employees on the requirements of the fiduciary rule, and technology solutions for monitoring and managing compliance across the organization.
Conflicts of Interest Management: Integrated solutions that enable firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population.
SCORE® Risk Control Center: Configurable compliance dashboards that deliver clear, comprehensive views into the status of compliance requirements at the company level or specific to the individual.
Ann Robinson, Senior Vice President, RegEd, and former compliance officer with more than 15 years of experience in the financial services industry, will speak on the topic, Managing the RFP Process for Vendor Solutions. The session will cover the front-to-back RFP process, including management’s role, liability issues, responsibilities and best practices when evaluating a vendor solution. Robinson stated, "The NSCP National Conference offers an educational forum to discuss regulatory hot topics and share best practices. This year the program includes a conference track focused specifically on the new DOL rule and its potential impact. RegEd representatives will address the ways in which training and technology can effectively prepare firms to deal with the requirements of the rule.”
RegEd is exhibiting at the conference and can be located at Booth 42 in the main exhibit hall of the Omni Shoreham Hotel. For more information on RegEd or its attendance at the 2016 NSCP National Conference, please call 800-334-8322 or email firstname.lastname@example.org.
RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.