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: Broker-Dealer Presidents Roundtable
Senior business leaders from top broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times. Topics discussed include regulation, operating models, distribution and sales processes, data and digitization, product changes, and service model enhancements.
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: 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.