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.

BLOG POST: SEC – Investment Advisers Can ‘Tailor’ Cybersecurity Policies and Procedures to Fit Their Business

The proposed cybersecurity rules would require advisers and funds to address five general elements when adopting, implementing, reassessing, and updating their cybersecurity policies and procedures.

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.

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