First-of-its-kind collaboration between a leading reg-tech enterprise and a third-party consultant will revolutionize the branch exam landscape Essential Edge Compliance Outsourcing Services, LLC (Essential Edge), which provides third-party outsourced compliance services for broker-dealers and registered investment advisers and RegEd, the leading provider of compliance solutions for financial services firms today announced a partnership that will provide an end-to-end outsourced solution for conducting branch exams. Since its inception in 2005, RegEd’s industry-leading Audit Management solution has enabled in-house audit teams to preempt incidents of operational, regulatory, and reputational risks, while streamlining the branch audit process. Using RegEd’s innovative technology solution, firms […]
Continue readingMore TagAuthor: Eric Clements
Eric Clements is the VP of Marketing and Communications at RegEd.
RegEd Launches Licensing Essentials, a New Managed Services Solution Tailored to the Needs of Growing Insurance Firms
New outsourcing solution delivers enterprise-grade technology, scalability and compliance expertise to midsized firms via RegEd’s industry-leading managed services model RegEd, the market-leading provider of compliance, licensing, and credentialing solutions to the financial services industry, today announced the launch of RegEd Managed Services Licensing Essentials, a turnkey outsourced solution designed to meet the licensing and credentialing needs of growing insurance firms. While RegEd’s Managed Services outsourcing solution has long been trusted by the industry’s largest organizations, Licensing Essentials brings the same operational excellence, regulatory expertise, and enterprise-grade technology to midsized firms. The solution is specifically calibrated to help midsized and growing […]
Continue readingMore TagRegEd Names Kevin Bieri Chief Architect to Accelerate Platform Modernization and Innovation
RegEd, the market-leading provider of enterprise compliance and producer management solutions for insurance and financial services firms, today announced the appointment of Kevin Bieri as Chief Architect. Establishing this new role reflects RegEd’s continued investment in technology modernization and platform scalability to meet the evolving needs of its clients. Bieri brings more than 15 years of technology and financial services experience, having led architecture and engineering efforts at leading global institutions. Most recently, he served as Vice President of Architecture at Fidelity Investments, where he was responsible for building modern retail trading experiences. Prior to that, he was Director of […]
Continue readingMore TagRegEd Announces Next-Generation Trade Supervision and Account Monitoring Solution to Advance Investor Protection
RegEd SmartCompli, Powered by InvestEdge, Delivers the Most Advanced, Comprehensive Solution in the Industry Today RegEd announced SmartCompli, which employs advanced technology and a proprietary data model that aggregates and normalizes trade, account and KYC data, from all major clearing and custody firms, as well as direct business. SmartCompli is integrated with RegEd’s market-leading Xchange Registration solution, enabling instant validation of advisor credentials to ensure that trades are made compliantly. This eliminates the need for firms to manage data exports on a continuous basis. Joe DiAngelo, EVP Sales at RegEd discussed the typical challenges confronting the industry. “Today firms have […]
Continue readingMore TagFrank Brienzi Appointed as CEO of RegEd
Seasoned industry veteran to take the reins and lead RegEd to its next level of growth as John Schobel assumes board position to focus on strategic imperatives and M&A. RegEd, the market-leading provider of enterprise regulatory compliance solutions to insurance companies and financial services firms, is pleased to announce that Frank Brienzi, an industry executive with 35 years’ experience driving growth in large and mid-market companies, will assume the role of CEO of RegEd. RegEd is a portfolio company of Gryphon Investors, a leading middle-market private equity firm. Brienzi is a highly accomplished business leader with significant CEO experience. […]
Continue readingMore TagRegEd to Showcase Innovative Technology for Advertising Compliance Review at 2022 ABA Regulatory Compliance Conference
Attendees will learn how RegEd enables two of the top three banks, and dozens of financial services firms, to streamline marketing and sales compliance through the application of artificial intelligence and other advanced technologies RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the 2022 American Bankers Association Regulatory Compliance Conference. The event will be held June 21-24 in Orlando, FL. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus. During the conference, RegEd representatives will highlight the company’s […]
Continue readingMore TagRegEd to Exhibit Industry-Leading Advertising Compliance Solution at 2022 IAdCA Annual Conference
RegEd will present its Enterprise Advertising Review solution at the Insurance Advertising Compliance Association’s 2022 Annual Conference. The IAdCA conference offers insurance industry professionals an opportunity to network and gain insight and understanding of insurance advertising compliance issues and trends. Conference attendees will hear from subject matter experts and state departments of insurance on advertising filing procedures, potential advertising violations, state advertising regulations, and what is expected of companies doing business in those states. Attendees will have the opportunity to exchange ideas and best practices to meet legal, compliance, and marketing requirements for marketing materials. RegEd’s Enterprise Advertising Review RegEd […]
Continue readingMore TagRegEd’s Advertising Compliance Solution Tops 4 Million Submissions
Adoption by seven of the top 10 broker-dealers and dozens of other financial services firms drives RegEd’s Enterprise Advertising Review past new milestone Significant investment in R&D and product innovation for RegEd’s market-leading Enterprise Advertising Review has resulted in the most rapid adoption by leading financial services firms in the solution’s history. Total submissions increased by more than 35% in 2021, enabling the ad compliance solution to recently surpass 4 million submissions since its inception – only a year after it exceeded 3 million submissions. The rapidity with which Enterprise Advertising Review achieved its latest milestone affirms RegEd’s unique capacity […]
Continue readingMore TagRegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 LIMRA Distribution Conference
Xchange Agency Contracting delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market RegEd will present its next-generation Xchange Agency Contracting solution at the 2022 LIMRA Distribution Conference for Financial Services. Developed with input from some of the nation’s largest insurance companies, Xchange Agency Contracting significantly reduces the time to contract and appoint producers while providing a streamlined user experience. “To gain competitive advantage in today’s marketplace, insurance companies must foster strong relationships with their distribution partners,” said Debra Freitag, Chief Strategy Officer at RegEd. “Xchange Agency Contracting improves producer […]
Continue readingMore TagLeading 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, licensing and compensation systems) included in the Novarica Market Navigator™ report. “Decoupling DCM capabilities from core policy administration systems can be a strategic approach to […]
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