RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements. Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule 17a-4 mandates it must be archived in the proper format to meet compliance standards. Write Once Read Many (WORM) WORM describes a data storage device […]
Continue readingMore TagMonth: February 2021
L&R Operations and the Shift Toward Automation: Key Drivers
The Drivers of Automation Managing licensing and registration operations means providing a high level of exceptional service to agents and producers against a challenging backdrop of fluctuating volumes, complex transactions, ever-changing regulations, and rigorous data and reporting demands. It requires extraordinary levels of efficiency and continuous assimilation of best practices. We take a look at the biggest drivers that propel insurers and distributors to implement advanced technology into their licensing operations. Time to Market, User Satisfaction, and Reduced Risk There are many drivers of automation in licensing and registration operations, but the most significant are the need for increased staff […]
Continue readingMore TagTrends in L&R Operations: A Changing Industry and New Ways to Work
An Evolving Industry and a New Way to Work The insurance industry and the technology that supports it continue to evolve, and licensing and registration operations remain at the forefront, providing extraordinary levels of efficiency and continuous assimilation of best practices. The Growth of Call Centers, Evolving Role of Technology For example, call centers, both internal and outsourced, have grown as a result of the insurance industry’s increased digitization and the popularity of robo-advisers. These shifts have been driven by a new generation rising higher through the business and by overall evolving expectations of what technology should provide. In addition, […]
Continue readingMore TagRegEd Appoints Adam Schaub as Vice President of Platform Product Management
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 Adam Schaub to the role of Vice President, Platform Product Management. In this role, Schaub will direct RegEd’s platform product management team and lead the strategy and vision for the continuous evolution of RegEd’s enterprise platform. “Adam comes to RegEd with deep industry, regulatory and compliance subject matter expertise. He has over 20 years of direct experience in the financial services compliance industry, and was a RegEd client leading the compliance services team at his last role, […]
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