Partnership with a Fortune 500 Wealth Management Firm Drives the Advancement of the Industry-Leading Licensing & Registration Solution to Support Firms Operating in Both the US and Canada RegEd, the leading provider of regulatory compliance and credentialing solutions for the financial services industry, today announced the expansion of its Xchange Producer Management platform to support insurance licensing and securities registration in Canada. This expansion enables financial services firms to harmonize their US and Canadian licensing and registration processes, leveraging Xchange’s advanced automation to improve efficiency, enhance compliance, and accelerate time-to-market for financial professionals operating across both regions. The move comes […]
Continue readingMore TagYear: 2025
RegEd Continues Expansion of Audit Management Capabilities in Support of FINRA’s Remote Inspections Pilot Program
New enhancements empower firms to streamline branch inspections, improve oversight, and ensure compliance—whether they participate in the pilot program or not. RegEd, the leading provider of RegTech enterprise solutions, has announced significant enhancements to its Audit Management solution to support the requirements of FINRA’s Remote Inspections Pilot Program, which began July 1, 2024. These enhancements enable firms to efficiently plan, track, and manage inspections—whether they opt into the pilot program or continue with traditional onsite inspections—while ensuring compliance with FINRA Rule 3110.18. FINRA’s three-year Remote Inspections Pilot Program allows eligible firms to conduct branch office inspections remotely instead of through […]
Continue readingMore TagRegEd’s Advertising Compliance Solution Surpasses 7 Million Submissions, Marking Another Industry Milestone
RegEd’s AI-Powered Enterprise Advertising Review continues to set the standard for marketing and advertising compliance in financial services through market-leading innovation and widespread industry adoption. RegEd, the leading provider of compliance solutions for financial services firms, has reached a new milestone as its Enterprise Advertising Review Solution surpasses 7 million submissions, representing more than 13.1 million review decisions and more than 16 million submitted review items. This achievement reinforces RegEd’s unmatched capability to streamline advertising compliance processes at scale, driven by advanced technology including artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review, including the successful launch of […]
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