SEC: Investment Advisers Can ‘Tailor’ Cybersecurity Policies and Procedures to Fit Their Business

Though the SEC has proposed requiring cybersecurity policies and procedures for investment advisers for the first time, it has also provided firms flexibility in addressing the general elements to be covered. “We recognize that there is not a one-size-fits-all approach to addressing cybersecurity risks. As a result, the proposed cybersecurity risk management rules would allow firms to tailor their cybersecurity policies and procedures to fit the nature and scope of their business and address their […]

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RegEd Experts to Bring Licensing Insights and Regulatory Updates to SILA Heartland Chapter Meeting

RegEd will share best practices in licensing and registration and relevant regulatory updates with Securities & Insurance Licensing Association members. At Wednesday’s SILA Heartland Chapter meeting, Michael Pouliot, head of sales for RegEd’s Enterprise Xchange Contracting, Licensing, and Registration solution, will offer SILA members ways to drive licensing and registration efficiencies that create a competitive advantage. Also, Brandi Brown, senior vice president of regulatory affairs for RegEd, will give a regulatory overview to attendees. SILA’s members include licensing […]

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FINRA Publishes 2022 Report on Exam and Risk Monitoring Program

The newly released 2022 Report on FINRA’s Examination and Risk Monitoring Program reflects an evolving securities industry. “Today’s securities industry landscape is highly dynamic in terms of business models, technologies, products, and compliance practices. This report looks at these significant changes through the lens of FINRA’s commitment to investor protection and market integrity so that firms’ compliance programs can benefit from our findings about emerging and ongoing issues,” stated Greg Ruppert, executive vice president, member supervision, in a […]

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Leading Advisory Firm Names RegEd a ‘Dominant Provider’ in Report on Distribution/Compensation Management Systems

Aite-Novarica Group Cites ‘Strong Market Position and Momentum’ in Listing Leading Providers of DCM Solutions Aite-Novarica Group has listed RegEd as a dominant solution provider in the advisory firm’s most recent report on distribution/compensation management systems. Dominant providers “have strong market position and momentum” and “their solutions within the segment are well-known,” Aite-Novarica Group states in its report. RegEd’s Enterprise Xchange Contracting, Licensing and Registration solution is one of 12 DCM provider systems (encompassing onboarding, […]

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SEC Cybersecurity Policy: New Rules for Investment Advisers Possible

The next evolution in SEC cybersecurity policy could come Wednesday when commissioners consider whether to propose new rules for registered investment advisers and investment companies. Commissioners will consider staff recommendations for addressing cybersecurity risk management for investment advisers and investment companies as one of the agenda items for their Feb. 9 meeting. The commission will also consider related amendments to certain rules regarding adviser and fund disclosures under the Investment Advisers Act of 1940 and […]

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RegEd Achieves Record Growth in 2021 Fueled by Product Innovation and New Enterprise Customer Acquisition

Industry’s leading provider of compliance, licensing, and credentialing automation, delivers record bookings and double-digit increase in revenue; Gears up for the future with further investment in advanced technologies. RegEd, the leading provider of RegTech solutions to broker-dealers, insurance companies, insurance brokers, and banks, today announced results from the most successful year in the company’s history. RegEd achieved record growth in 2021, highlighted by a 42% year-over-year increase in organic new annual recurring revenue (ARR) bookings […]

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