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: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
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.