Top 5 Features from RegEd’s Enterprise Compliance Spring Release

RegEd recently rolled out dozens of exciting new features with our spring Enterprise Compliance platform release designed for financial services firms. Learn more about the top 5 features below!  Industry’s Largest IAR CE Offering  SCORM Compliant Courses  GGC’s Contact Directory Enhancements  Multiple Auditor Support  Compliance Questionnaire & Advertising Review Self-Service Tools  Industry’s Largest IAR CE Offering  In January, RegEd launched our Investment Adviser Representative CE solution to meet the North American Securities Administrators Association (NASAA)’s […]

Read MoreMore Tag

Preparing your 2022 Firm Element Training Program – Step Two: the Written Training Plan

Adam Schaub Vice President, Platform Product Management RegEd, Inc. FINRA Rule 1240 requires each of its member firms to conduct an annual evaluation and prioritization of its registered persons’ training needs, develop a written training plan, and implement and track completion of that plan.  Our first article covered the Needs Analysis, and this article covers the second step, which is to develop your firm’s written training plan.  Similar to our guidance on the Needs Analysis, if […]

Read MoreMore Tag

Preparing your 2022 Firm Element Training Program – Step One: the Needs Analysis

Adam Schaub Vice President, Platform Product Management RegEd, Inc. It is that time of year again when firms have wrapped up their 2021 CE programs and are ready to reflect and plan their 2022 programs.  For many firms, this entails dusting off the 2021 Needs Analysis and Written Training Plan, and adjusting for the current year.  If planning Firm Element is a new task for you, it is recommended that you create a framework that […]

Read MoreMore Tag

RegEd Reaches 3 Million Submissions Reviewed on its Enterprise Advertising Review Solution

Adoption by scores of financial services firms, including 7 of the top 10, fueled exponential growth in volume over the last two years. RegEd, the leading provider of RegTech solutions to the financial services industry, today announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 3 million submissions to date. Regulators such as the SEC and FINRA are highly focused on marketing, advertising, and […]

Read MoreMore Tag

L&R Operations and the Shift Toward Automation: Key Drivers

The Drivers of Automation Managing licensing and registration operations means providing a high level of exceptional service to agents and producers against a challenging backdrop of fluctuating volumes, complex transactions, ever-changing regulations, and rigorous data and reporting demands. It requires extraordinary levels of efficiency and continuous assimilation of best practices. We take a look at the biggest drivers that propel insurers and distributors to implement advanced technology into their licensing operations. Time to Market, User […]

Read MoreMore Tag

Trends in L&R Operations: A Changing Industry and New Ways to Work

An Evolving Industry and a New Way to Work The insurance industry and the technology that supports it continue to evolve, and licensing and registration operations remain at the forefront, providing extraordinary levels of efficiency and continuous assimilation of best practices. The Growth of Call Centers, Evolving Role of Technology For example, call centers, both internal and outsourced, have grown as a result of the insurance industry’s increased digitization and the popularity of robo-advisers. These […]

Read MoreMore Tag

Licensing Technology and Evolving Expectations

Less That Does More The financial services industry expects dramatically more from the technology that supports it. Once paper-based, systems are now a single application with a frictionless experience for users. The best licensing and registration operations have the ability to aggregate real-time data from multiple sources, provide straight-through processing for a host of functions, and support multiple channels.  Intuitive and Interactive Just five years ago, firms said agents were resistant to technology and still […]

Read MoreMore Tag

Business Process Automation (BPA) v. Robotic Process Automation (RPA): Which is best for L&R Operations?

BPA Drives L&R Efficiency For many the financial services industry, there can be confusion between BPA and RPA. Business process automation, known as BPA, has proven most effective at driving efficiency for licensing and registration operations. Robotic process automation, or RPA, is often seen as the ultimate enabler of efficiency, which is true in other applications. Here, we explain the difference. Process Management v. Saving Keystrokes Robotic process automation (RPA) replicates human keystrokes in a […]

Read MoreMore Tag

Leverage Pre-Audit Questionnaires to Improve Efficiency and Reduce Risk of Non-Compliance

The introduction of RegEd’s Pre-audit questionnaire (PAQ) functionality for Audit Management has enabled compliance and audit professionals to ensure that all pertinent data collected via questionnaires is automatically populated, reducing the need for manual transfer and significantly improving audit cycle time, while reducing the risk of input error. With PAQ’s, auditors and audit schedulers can complete their audit cycle workflows from within a unified tool – schedule audits, designate auditees, assign pre-audit questionnaires, or make […]

Read MoreMore Tag

Advertising Review: Leverage Next Gen Annotation Tools to Streamline the Review Process

RegEd is excited to announce expanded support for annotations within the industry-leading Enterprise Advertising Review solution.  Reviewers and submitters can now annotate materials using their browser of choice (Internet Explorer 11, Chrome v75+, Firefox v62+, Edge v44+) to allow more flexibility according to their preferences.  Additionally, users may now optionally ‘lock’ annotation comments such that only the individual that submitted the comment will be permitted to delete it, regardless of when created in the review […]

Read MoreMore Tag
Scroll to top