Check here for upcoming RegEd events and industry conferences where you can find us.
Check back here for upcoming RegEd events and industry conferences where you can find us.
Webinar: FINRA’s 2021 Examination and Risk Monitoring Program Report: Understanding the Report and Implications for Your Compliance Program
This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of the 2021 Report on FINRA’s Examination and Risk Monitoring Program, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.
Webinar: Advertising Regulation: Understanding and Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
On Tuesday, Dec. 22, 2020, the Securities and Exchange Commission (SEC) announced it had finalized reforms to modernize rules that govern investment adviser advertisements and compensation to solicitors, the first significant revision to the rule in decades. This webinar features an expert panel who provides insight into the details of the rule, how it will impact the industry, and what firms can do now to prepare.
Webinar: Regulatory Change Management: The State of Insurance Regulation and Compliance Best Practices in a Pandemic World
This webinar features an expert panel that provides an overview of the current state of insurance regulation, including the impact that COVID has had on the volume and nature of regulation, as well as hands-on best practices for ensuring closed-loop compliance. The session also features an industry perspective on how one leading insurer is applying technology to streamline the management of regulatory compliance.
Webinar: Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond: A Hands-on Perspective
This webinar featured Sander J. Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, who provided an overview of current trends in the industry, ongoing impacts related to the pandemic, and a forward-looking view as to how firms are likely to continue to advance their programs.
Webinar: Driving L&R Efficiencies to Create Competitive Advantage
Licensing and Registration technology has materially advanced over the last few years. The most efficient licensing centers manage by exception, enjoy high agent / rep satisfaction and exceed their key performance metrics year over year. Learn how these licensing operations have integrated just-in-time processing, business process automation, data reconciliation and data integration with critical path internal and external systems to enable an entirely new level of efficiency.
Webinar: Keeping a Grip on Employee Conduct and Conflicts of Interest
Employee conduct risk and conflict of interest (COI) is a crucial area for financial institutions due to the reputational and regulatory risks. Employee COI is a complex area involving multiple roles, policies, and regulators. Unchecked, employee COI and unethical sales practices can rise to the level of enterprise risk with the potential for significant regulatory actions, fines and reputational risk.
This webinar featured an expert panel who offered insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
Webinar: NIPR and Producer Licensing during COVID-19
Karen Stakem Hornig, CEO of NIPR, discusses important updates related to current and planned NIPR licensing and registration initiatives.
Webinar: RegEd Regulatory Update: State-mandated training developments and state pandemic relief updates
Brandi Brown, SVP of Regulatory Affairs at RegEd, shares insight into the state-mandated training developments and state pandemic relief updates.
Webinar: Driving L&R Efficiency: Client Success Stories
Hear the real-world experience of leading insurance carrier and distributor firms, and learn how they have enabled efficiency, enhanced advisor / agent satisfaction and reduced risk while evolving their licensing and registration operations to a best practice standard.
Fireside Chat: A Unique Perspective on Licensing and Registration Operations
This fireside chat features two of the industry’s most seasoned L&R experts, who have had their finger on the pulse of the industry for 50 years combined. They will share observations, insights and best practices gained in working with scores of insurance carriers and distributors around their implementation of innovative technology and processes.
Webinar: Branch Audit Management: Enforcement Trends, Regulatory Developments and Best Practices in a Pandemic World
This webinar featured an expert panel that provided an overview of relevant regulatory developments in this area, including the latest on how it is being viewed in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline the management of branch exams.
Webinar: Insurance Agency Licensing and Compliance: New Models for New Times
This webinar looked at the different challenges faced by insurers, agencies, and call centers in the compliance process. We laid out some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.
Webinar: Leverage Third Party Integrations and Web Services to Streamline Marketing and Compliance Workflows
This session reviews the RegEd Advertising Review solution and it’s advanced capabilities for third party integration and web services, which significantly reduce manual intervention in the review process and turnaround time from asset creation through submission and approval.
Webinar: Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment
This webinar featured an expert panel who provided an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.
Webinar: Advertising Regulation: An Update on the SEC’s Proposed Rule Changes
The webinar features an expert panel that offered insight into the details of the advertising rule proposal, how it might change based on industry comment, and what firms can do to prepare.
Webinar: FINRA, SEC and State Securities Enforcement Trends
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
Virtual Roundtable: Broker-Dealer Compliance Challenges During the Pandemic: Best Practices and Views to the Future
This webinar features a panel of Chief Compliance Officers and compliance leaders to discuss the crisis confronting our industry and its impact on distribution, operations and compliance programs. Panelists shared both challenges and best practices.
Webinar: Getting Up to Speed on the New NAIC Best Interest Rule
This webinar features Jason Berkowitz, Chief Legal & Regulatory Affairs Officer for the Insured Retirement Institute (IRI), who covers the most pressing questions surrounding the NAIC best-interest standard that was added to the Suitability in Annuity Transactions Model Regulation.
Webinar: An Overview of Standards of Conduct in the Financial Services Industry
This webinar highlights the enduring trend of regulators focusing on establishing standards of conduct intended to preserve the best interest of investors, increase transparency in the advisor/client relationship, and clarify fiduciary responsibilities.
Webinar: Navigating NY Reg 187’s Best Interest Standard
This webinar provides an overview of the NY Regulation 187, what it will mean for insurers, and how new RegEd courses can help insurers meet its demands.
Webinar: Blueprint for an Effective, Efficient & Agile Policy Management Program
This webinar aims to provide a blueprint for attendees on effective policy management in a dynamic business, regulatory, and risk environment where attendees will learn policy management governance and process that can be applied across the organization at either an enterprise or a department level.
Webinar: SEC Regulation Best Interest: What You Need to Know
Join RegEd and Eversheds Sutherland (US) for an overview of Reg BI and insight into what you should expect from the recent rulemaking. The session featured Ben Marzouk, Brian Rubin, and Issa Hanna from Eversheds Sutherland.
Webinar: A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry
Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.
Webinar: State Model Acts: What You Need to Know
An examination of state model acts and the regulatory landscape as it relates to topics such as senior and vulnerable adult protections, cyber risk management, standard of care, FinTech and InsurTech.
Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers
An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.