Annual Seminar is the premier event for compliance and legal professionals in the financial services industry
Raleigh, NC, March 18, 2019 – RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Annual Seminar in Phoenix, AZ, March 24-27, 2019.
The SIFMA Compliance & Legal Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. The three-day seminar provides a unique opportunity for industry leaders and regulators to gather, network and collaborate. Attendees will benefit from over 60 in-depth breakout sessions and noted keynote speakers, participants will be emerged in the latest industry developments and best practices.
During the conference RegEd will showcase a set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:
RegEd SCORE® Risk Control Center: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.
Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.
Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.
Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.
RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.
The RegEd conference exhibit will be located in the conference’s main exhibitor hall at the JW Marriott Phoenix Desert Ridge. For more information on RegEd or its attendance at the SIFMA C&L Annual Seminar, please call 800-334-8322 or email firstname.lastname@example.org.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.