Eric Clements, Author at RegEd.com

RegEd to Showcase Enterprise Compliance Solutions at 2021 NSCP National Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its enterprise compliance platform at the 2021 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Nov. 8-10. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to investment advisers, broker-dealers, private funds, and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year, “the only conference that’s ‘for compliance, by compliance,’” will focus on “the practical solutions to empower yourself and your compliance […]

RegEd to Participate in 2021 ARM Educational Conference

Thought leaders from RegEd will participate at the upcoming 2021 Association of Registration Management (ARM) Educational Conference, which will be held both in Sarasota, Fla., and virtually, from Oct. 11-13. RegEd is also a sponsor of the annual event. Attendees of the 2021 ARM Educational Conference, both in-person and virtual, will learn about and discuss issues and developments surrounding the registration and licensing functions for the securities and insurance industries. Attendees will benefit from in-depth educational sessions and hear from representatives at FINRA, NFA, NASAA, and SROs who will inform attendees of the latest changes affecting the industry. As the […]

RegEd to Participate in 2021 AICP Annual Conference

Thought leaders from RegEd will participate at the upcoming 2021 Association of Insurance Compliance Professionals (AICP) Conference, which will be held in San Diego on Oct. 3-6. RegEd is also a Bronze Level sponsor of the annual event. Conference attendees, both in-person and virtual, will learn about and discuss key issues facing compliance professionals at Property and Casualty and Life and Health companies. The event will bring together hundreds of senior insurance compliance professionals, regulators and industry thought leaders. “ReFRESH-ReNEW-ReFOCUS” is the theme of this year’s AICP conference. As the largest provider of regulatory technology solutions to the financial services […]

RegEd to Exhibit at 2021 InsureTech Connect Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its market-leading enterprise compliance platform at the 2021 InsureTech Connect Conference in Las Vegas. ITC Vegas is among the world’s largest InsureTech events – offering access to a comprehensive and global gathering of tech entrepreneurs, investors, and insurance industry incumbents. From Oct. 4-6, the industry will convene to showcase new innovations, to learn how to increase productivity and reduce costs, and ultimately to enrich the lives of policyholders. RegEd representatives will be on-site to help conference attendees identify effective and cost-efficient strategies to manage […]

RegEd Launches Real-time ‘Clear to Sell’ for Agents

RegEd CLEARXchangeSM enables real-time validation of contracting, licensure, education/training, appointment and registration for an instant “clear to sell.” RALEIGH, N.C., September 17, 2021 — Agents can place compliant business faster with the newly released RegEd CLEARXchange, the financial services industry’s most comprehensive Clear to SellSM solution for eliminating “not in good order” (NIGO) transactions and improving agent and adviser satisfaction. RegEd CLEARXchange offers a frictionless path to placing business and paying commissions compliantly by automatically validating that the producer holds the proper licenses and appointments for the business they are placing and for which they are receiving payment. The real-time […]

RegEd to Participate in 2021 SILA National Education Conference

Thought leaders from RegEd will participate at the upcoming 2021 SILA National Education Conference, which will be held in Philadelphia on September 19-22. RegEd is also a Diamond Level sponsor of the annual event. Attendees at the in-person conference will use their collective ideas, voices, and energies to work “Together Towards Tomorrow” to address insurance licensing and securities registration challenges. The conference agenda includes dozens of sessions around tracks for Surplus, Securities, LHPCV, Adjusters, and General attendees. As the largest provider of compliance technology solutions to the financial services industry, RegEd will exhibit its market-leading Enterprise Xchange Licensing and Registration […]

Advertising Review: Is Your Marketing Collateral Review Process 17a-4 Compliant

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 […]

RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements. Raleigh, NC, Jan. 25, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in New Orleans, LA, January 28-30, 2019. The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 25 sessions on topics including conflicts of interest, cybersecurity, technology, […]

Gryphon Investors to Acquire RegEd, Inc.

Gryphon Investors (“Gryphon”), a San Francisco-based middle-market private equity firm, today announced that it has signed a definitive agreement to acquire RegEd, Inc. (“RegEd” or “the Company”), the leading provider of compliance and regulatory management services for insurance companies, broker-dealers, banks, and other financial services companies. Founder and CEO John Schobel and other members of RegEd’s management team, as well as current majority owner Falfurrias Capital Partners, will retain an equity ownership in the Company. Mark Schlageter, Gryphon Executive Advisory Board Member and former Thomson Reuters Chief Customer Officer, will be the Chairman of RegEd. The transaction closed on December 20, 2018 […]

Advertising Review: 4 Ways to get the Most From Your-Reports

Reports show trends on how well your firm did in the past, as well as what’s coming down the pike. These are key factors that drive success for the firm. Information provided by reports is especially important in today’s compliance environment, where it’s critical to be proactive instead of reactive. To make the most of RegEd’s Advertising Review reporting capabilities, follow these proven steps to improve your process. 1. Determine what's important to your firm Executives consider reporting vital to find answers to questions regarding their business. Start by asking questions at the top. When prototyping your reports, it’s important […]

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