PROVEN COMPLIANCE SOLUTIONS FOR
REGISTERED INVESTMENT ADVISERS
Compliance solutions for investment advisers to manage SEC and State compliance, conflicts of interest, training and more.
Onboarding, Licensing
& Registration
The only unified solution to manage the full lifecycle of advisor onboarding and compliance, delivering a seamless user experience including dually-licensed professionals as well as insurance agents.
Compliance
Management
Efficiently manage disclosure, conflict of interest and other requirements from SEC, state and other regulators of the financial services industry. Including Personal Accounts, Holdings and Transactions; Outside Business Activities; Gifts and Entertainment; Form ADV Part 2B Supplement, and more.
Regulatory Change
Management
Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures.
Education &
Training
The leading provider of IAR CE, Compliance Education, Product Training and Ethics, and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.
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.
FEATURED RESOURCES
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.
CONTACT US
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.