Navigating Regulatory Disparities: Broker-Dealer Branch Office Inspections

Introduction The financial services industry is constantly evolving, and regulatory bodies play a pivotal role in protecting investors as well as maintaining the integrity and stability of the markets. Recent enforcement events are at the center of a regulatory conundrum. Maine has sanctioned at least 28 broker-dealers so far this summer for failing to conduct annual onsite branch office inspections, drawing attention to the compliance challenges broker-dealers faced due to the lack of uniformity within the regulatory landscape.  Maine isn’t the only state with an annual onsite branch office inspection requirement. The Regulatory Dilemma The heart of the issue lies […]

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RegEd Recognized as a Top Innovator in the InsurTech Sector as a Member of the 2023 InsurTech100

The annual list identifies the world’s most innovative providers in the insurance technology market that are helping insurers address their most pressing compliance and operational challenges. RegEd, a leading provider of compliance and credentialing solutions for the insurance industry, is proud to announce its inclusion in the 2023 InsurTech100 list. This annual ranking, published by specialist research firm FinTech Global, highlights the most innovative and transformative technology companies reshaping the insurance sector. In an era marked by rapid digital transformation and evolving customer expectations, insurance firms face an ongoing struggle to modernize their services. InsurTech companies have emerged as vital […]

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RegEd Thought Leader to Participate in Annual NAIC Insurance Summit 2023

Kaitlyn Small of RegEd will be leading an adjuster licensing session during the conference RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, is a proud sponsor of the upcoming Insurance Summit 2023. The event, to be held September 11-14 in Kansas City, is presented jointly by the National Association of Insurance Commissioners (NAIC) and National Insurance Producer Registry (NIPR). The Insurance Summit stands as a beacon of collaboration and knowledge exchange within the insurance sector, combining the extensive resources of NAIC and NIPR. It serves as a premier conference for insurance professionals, providing an […]

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