FINRA Priorities Letter Highlights Customer Communications as the Subject of Heightened Focus for 2020

FINRA’s 2020 Risk Monitoring and Examination Priorities Letter serves to document areas of emphasis for the coming year, which firms may consider for opportunities to improve their compliance and supervisory programs. Among the highlights in the 2020 letter is an emphasis on firms’ compliance with obligations relating to FINRA Rule 2210 (Communications with the Public), including their marketing, advertising and sales materials. “FINRA will review how firms review, approve, supervise and distribute retail communications regarding private placement […]

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SEC’s 2020 Examination Priorities Demonstrate a Continued Focus on Conflicts of Interest, Including Outside Business Activities

SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2020. According to the report, OCIE will continue its focus on the protection of retail investors, including seniors and those saving for retirement. Examinations in these areas will include reviews of disclosures relating to fees, expenses, and conflicts of interest. “Registered firms must effectively implement controls and systems to ensure disclosures are made as required and that a firm’s actions match those […]

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RegEd Appoints Derrick D. Cobey as Chief Technology Officer

Technology strategist and product development veteran to drive the continued advancement of RegEd’s enterprise compliance and credentialing solutions. RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Derrick D. Cobey to the role of Chief Technology Officer (CTO). In this role, Cobey will direct RegEd’s technology strategy and drive continuous innovation across RegEd’s broad compliance and credentialing solutions portfolio. “As client […]

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RegEd CEO and Founder to be a Featured Presenter at FSI OneVoice 2020

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. […]

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RegEd Recognized as a Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook

The annual awards acknowledge companies that are at the forefront of providing compliance and risk solutions while significantly impacting their industries. RegEd, the leading provider of compliance technology to insurance companies, broker-dealers and banks, today announced that CIO Review and Banking CIO Outlook, prominent publications for information technology executives, have selected RegEd as one of the 20 Most Promising Compliance Technology Providers and one of the Top 10 Risk and Compliance Solution Providers for 2019. […]

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