RegEd 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 […]

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RegEd EVP Michael Pouliot to Speak on the Digital Transformation of Multi-Channel Agency Distribution at Reuters Future of Insurance Conference

Attendees will learn about key trends in the insurance industry, as insurers increasingly focus on delivering a fully digital producer experience to drive speed to market and competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a Gold Sponsor and contributor at The Reuters Future of Insurance USA 2022 Conference, to be held from June 14-15 in Chicago, IL. The conference is billed as “North America’s […]

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Complying with Pay-to-Play Rules in an Election Year

This year’s mid-term elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to […]

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RegEd to Sponsor the 2022 ARM Annual Educational Conference

Attendees will learn how RegEd enables leading financial services firms to streamline the rep and agent experience to gain competitive advantage RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the upcoming 2022 Association of Registration Management (ARM) Annual Educational Conference, which will be held in Sarasota, Fla. from June 6-8. Attendees of the 2022 ARM Annual Educational Conference will learn about and […]

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RegEd Thought Leaders to Present at the 2022 IRI Annual Conference

Attendees will learn how RegEd enables leading insurers to streamline the producer experience and gain competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a sponsor at the 2022 IRI Annual Conference, held from May 18–20 in Washington, D.C. The IRI Annual Conference convenes representatives from the entire supply chain of the insured retirement industry. Attendees can expect to hear from inspiring and innovative keynote speakers […]

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RegEd 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 […]

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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 […]

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5 SEC Examination Priorities for 2022

The SEC’s Division of Examinations’ exam priorities for fiscal year 2022 include standards of conduct as well as issues related to technology and investment products. “The Division will prioritize examinations of several significant focus areas that pose unique or emerging risks to investors or the markets, as well as examinations of core and perennial risk areas. Their importance to investors and the markets, coupled with the seriousness and frequency of observations in prior years’ examinations, […]

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RegEd to Exhibit Industry-Leading Adjuster Licensing Solution at Self-Insurance Institute of America Spring Forum

RegEd will exhibit its Xchange for Adjuster Licensing and Enterprise Xchange Contracting, Licensing, and Registration solutions at the Self-Insurance Institute of America (SIIA) Spring Forum in Orlando, Fla., on March 30-April 1. The SIIA Spring Forum is billed as the largest event for senior-level self-insurance industry professionals in the first half of 2022. It will include educational sessions, group discussions, association task force reports, and a “focus group” participation opportunity. RegEd helps self-insurance companies and […]

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RegEd’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 […]

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