John M. Schobel will present on the topic of driving efficiency and effectiveness in branch exams and field audits.
RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Diego, CA, January 27-29, 2020.
RegEd Founder and CEO, John M. Schobel, will present on Improving Branch Exams on Tuesday, January 28th at 1:30 PM. The session will cover how branch exams and field audits can be made more beneficial and impactful for both the firm and the registered representative. The session will review the topics to cover in the exam as well as evaluate how to best approach compliance issues and create an open dialogue.
John M. Schobel, Chief Executive Officer at RegEd, commented, “The need for a holistic view of compliance and risk is the key driver causing industry firms to consolidate compliance technology in favor of an enterprise approach. RegEd’s enterprise compliance platform and wide breath of compliance solutions, including Branch Audit Management, enable our clients to establish a central compliance portal that provides their advisor and employee population with a full view of compliance requirements and status while providing the firm with the critical views needed to reduce overall risk for the firm.”
The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 30 sessions on topics surrounding compliance, supervision, operations and technology. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts.
RegEd will be an exhibitor and sponsor at the conference, and will showcase enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:
Audit Management: Enables
firms to fully plan, schedule, conduct, resolve and report on branch audits.
Streamlines the audit process and improves efficiency of the firm’s audit
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.
Advertising Review: Enable
a workflow-driven process to streamline advertising and customer communication
submission, review, collaboration and approval, speeding time to market for
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.
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.
RegEd conference exhibit will be located at booth #509 in the conference’s main
exhibitor hall at the Sheraton San Diego Hotel & Marina. For more
information on RegEd or its attendance at the FSI OneVoice conference, 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.