PROVEN COMPLIANCE SOLUTIONS FOR BROKER-DEALERS
Compliance solutions for broker-dealers, investment advisers and other securities firms to manage FINRA compliance, conflicts of interest, training and more.
Securities firms are under pressure to identify highly effective and cost-efficient strategies to manage compliance and registration requirements across the enterprise. A simplified user experience, from onboarding to managing day-to-day requirements, increases rep satisfaction.
Thought leadership from industry and RegEd subject matter experts.
WEBINAR: CEO Roundtable: Operating in a Post-Pandemic World
Presidents and CEOs from leading insurance-based broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times.
WEBINAR: Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices
Overview of the latest regulatory developments in this area, including FINRA’s extension of the remote option and how it is expected to evolve going forward. Panelists also review practical challenges and opportunities facing audit teams.
WEBINAR: Technology Innovations to Streamline Compliance
Advancements in technology in the compliance realm have been rapidly increasing each year. Our panel attempts to demystify these concepts and discusses practical applications of emerging technologies, their potential impacts to compliance and provide best practice considerations.
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.