PROVEN COMPLIANCE SOLUTIONS FOR
REGISTERED INVESTMENT ADVISERS
Compliance solutions for investment advisers to manage SEC and State compliance, conflicts of interest, training and more.
Registered Investment Advisers 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 investment adviser representative satisfaction.
Thought leadership from industry and RegEd subject matter experts.
BLOG POST: Complying with Pay-to-Play Rules in an Election Year
This year’s mid-term elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making political donations that many other voters could.
BLOG POST: 5 SEC Examination Priorities for 2022
The SEC’s Division of Examinations’ exam priorities for fiscal year 2022 include standards of conduct as well as issues related to technology and investment products. The SEC identifies five “significant focus areas” in its recently released 2022 Examination Priorities report.
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.
FAQs for IAR CE: What to Know About NASAA’s Investment Adviser Representative Continuing Education Model Rule
As an approved IAR CE provider, RegEd answers some of the most common questions that IARs and firms have about these first-time requirements.
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.