News Archives

FINRA Introduces New Remote Inspections Pilot Program

Three-Year Pilot Program Seeks to Modernize Inspection Process for OSJs, Branch Offices, and Non-Branch Locations The Financial Industry Regulatory Authority (FINRA) has withdrawn its original remote inspection pilot program from 2022 and proposed a new pilot initiative. This revised program aims to bring the inspection process for Office of Supervisory Jurisdiction (OSJ), branch offices, and non-branch locations into the modern era. The proposed pilot program is currently open for public comment. Risk Assessments and Preaudit Questionnaires The pilot program, which is set to last for three years if approved by the Securities and Exchange Commission (SEC), would require participating firms […]

RegEd Hosts Tenth Annual Client Conference

The conference agenda featured sessions united around best practices to tackle pressing challenges in today’s demanding business and regulatory environment. RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted its tenth annual RegEd Compliance Alliance (RCA) Client Conference in Fort Lauderdale, FL on April 3rd – 5th, 2023. Compliance, licensing and registration, and operations professionals from the nation’s leading financial services firms gathered at the conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The conference included substantive sessions, panel discussions and expert presentations […]

Frank 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. […]

RegEd Named to 2023 RegTech 100 as Leading Innovator by FinTech Global

The annual list identifies the world’s most innovative providers in the regulatory technology market that are helping financial institutions address their most pressing compliance and risk management challenges. RegEd, the leading provider of regulatory compliance and credentialing solutions for the financial services industry, has announced that it has achieved placement in the 2023 RegTech 100 list. The list, presented annually by FinTech Global, recognizes the most groundbreaking companies in the RegTech space. “We are thrilled to be recognized as one of the leading innovators in our industry,” said John M. Schobel, CEO & Founder of RegEd. “RegEd is committed to […]

RegEd Appoints Ponce Kenton as Chief Technology Officer

Technology strategist and product development veteran to drive the continued advancement of RegEd’s enterprise compliance and credentialing solutions RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Ponce Kenton to the role of Chief Technology Officer (CTO). In this role, Kenton will direct RegEd’s technology strategy and drive continuous innovation across RegEd’s Compliance, Licensing and Credentialing solutions portfolio. “As client expectations for technology-enabled efficiency continue to evolve, a chief technology officer that is an innovation agent with highly disciplined execution is critical to our continued success,” […]

RegEd to Participate in 2022 SILA National Education Conference

The Diamond Sponsor will exhibit its next-generation Agency Contracting solution, which delivers a single solution for all distribution channels and enables rapid onboarding of agencies and agents to speed time to market. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, is proud to be a Diamond Level Sponsor of the 2022 SILA National Education Conference, held from Oct. 23-26, in Seattle, Washington. The conference provides more than 30 substantive sessions and an educational forum for attendees to address current industry challenges, discuss licensing and registration best […]

RegEd to Showcase Innovative Technology for Advertising Review at 2022 FINRA Advertising Regulation Conference

Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the FINRA Advertising Regulation Conference in Washington, DC, Oct. 20-21, 2022. FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance professionals. Industry and regulatory speakers gather at the conference to facilitate interactive, forward-looking discussions on current practices, policies, […]

RegEd to Exhibit Enterprise Compliance Solutions at 2022 NSCP National Conference

Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum MemberAlly Sponsor and will exhibit its enterprise compliance platform at the 2022 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Oct. 17-19. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has been […]

Highlights From the SEC Municipal Advisor Risk Alert

The SEC has provided a Risk Alert to remind municipal advisors of their obligations and to raise awareness among Municipal Advisors (“MAs”) of the most often cited deficiencies and weaknesses observed in recent MA examinations. Many of the same areas were covered in its 2017 Risk Alert, indicating that the SEC continues to note similar deficiencies as it did 5 years ago. Inaccurate or Incomplete Registrations and Filings The SEC found significant overlap in registration and filing deficiencies when compared to those identified in its 2017 Risk Alert. Among the inaccurate or incomplete information filed on SEC Forms MA and […]

RegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 InsureTech Connect 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 InsureTech Connect (ITC) Conference. 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. ITC Vegas is the world’s largest insurtech event – offering unparalleled access to the most comprehensive and global gathering of tech entrepreneurs, investors, and insurance industry executives. Over the course of three […]

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