COMPLIANCE MANAGEMENT SOLUTION SUITE
Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.
The leading choice of compliance, operations and technology stakeholders across hundreds of financial services firms, RegEd’s applications deliver proven, robust, compliance-optimized capabilities that enable extraordinary efficiency and strong compliance oversight, dramatically reducing the risk of non-compliance.
COMPLIANCE MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for compliance management, from industry and RegEd subject matter experts.
WEBINAR: Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
This webinar features an expert panel who provides insight into the details of the SEC’s newly adopted modernized marketing rule, how it will impact the industry, and what firms can do now to prepare.
CELENT REPORT: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
WEBINAR: Technology Innovations to Streamline Compliance
This webinar discusses concepts and practical applications of emerging technologies, their potential impacts to compliance and provide best practice considerations when approaching these technologies.
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.