Eric Clements, Author at RegEd.com

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 […]

Efficiencies with Advertising Review’s Two-Way FINRA Integration

Firms filing their advertisements with FINRA know how time consuming and cumbersome the process can be. Not only does the firm need to review collateral based on internal processes, but they also need to organize and send firm-approved files to FINRA based on FINRA 2210. FINRA offers two ways to initiate the review process – either manually through their web portal, or by integrating with its Advertising Review Electronic Files (AREF) system. Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can […]

The Future of Customer Communications Compliance

We had a blast during the 2018 Advertising Review Client Advisory Board (CAB) meeting! A dozen of our clients and RegEd employees teamed up to review what’s coming down the pike for RegEd’s Advertising Review solution and the industry. During our nearly two-hour meeting, we discussed product features, played innovation games, and explored what the future of the industry could look like. See below for the top takeaways from this year’s session. Third-Party Integrations Over the past few years it has become more important than ever to have a fully holistic up- and down-stream review process. This includes connections with […]

RegEd to Showcase Enterprise Platform Solution at 2018 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet obligations across compliance management, conflicts of interest, education, and licensing and registration processes RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2018 FINRA Annual Conference in Washington, DC, May 21-23, 2018. FINRA's annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today's evolving industry with interactive forums led by experienced industry veterans and regulators. The conference […]

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