Check here for upcoming RegEd events and industry conferences where you can find us.

Upcoming Events

Conference

Virtual Conference: SIFMA Compliance & Legal Virtual Forum

09/23/2020 – 09/24/2020

The SIFMA Compliance & Legal Virtual Forum will provide compliance and legal professionals with two days of live and on demand content. Hosted by the SIFMA C&L Society, hear industry leaders’ perspectives on the current regulatory and enforcement environments, lessons learned thus far, and much more.

RegEd will be a sponsor at the 2020 SIFMA Compliance & Legal Virtual Forum.

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Conference

Virtual Conference: CEFLI Annual Conference

09/23/2020 – 09/25/2020

The CEFLI Annual Conference is designed to bring compliance and ethics professionals, industry experts and key state and federal regulators together to share their expertise, develop solutions and share potential leading practices on the issues their peers have identified as the top compliance and ethics issues facing the industry.

RegEd will be a conference sponsor at the 2020 CEFLI Annual Conference.

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Conference

Virtual Conference: ARM Educational Conference

09/29/2020 – 09/30/2020

The ARM Educational Conference is a two-day educational event focused on issues and developments surrounding the registration and licensing functions for the securities and insurance industries. Attendees will benefit from in-depth educational sessions covering topics such as state enforcement trends and updates from FINRA and continuing education programs.

RegEd will be an exhibitor at the 2020 ARM Educational Conference.

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Webinar

Webinar: Keeping a Grip on Employee Conduct and Conflicts of Interest

10/01/2020

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.

Join us for this live webinar during which our expert panel will offer insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.

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Conference

Virtual Conference: SILA National Education Conference

10/01/2020 – 10/21/2020

The SILA National Education Conference will provide more than 40 substantive sessions and an educational forum for attendees to address current industry challenges, discuss licensing and registration best practices, and build their overall compliance knowledge.

RegEd will be a Diamond Level sponsor at the 2020 SILA National Education Conference.

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Conference

Virtual Conference: NSCP National Conference

10/19/2020 – 10/21/2020

The NSCP National Conference offers more than 80 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry.

RegEd will be a Gold MemberAlly sponsor at the 2020 NSCP National Conference.

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Past Events

Webinar

Webinar: Branch Audit Management: Enforcement Trends, Regulatory Developments and Best Practices in a Pandemic World

09/16/2020

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.

View Recording


Webinar

Webinar: Insurance Agency Licensing and Compliance: New Models for New Times

09/15/2020

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.

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Webinar

Webinar: Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment

08/20/2020

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.

View Recording


Webinar

Webinar: Advertising Regulation: An Update on the SEC’s Proposed Rule Changes

07/30/2020

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.

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Webinar

Webinar: FINRA, SEC and State Securities Enforcement Trends

06/25/2020

This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.

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Webinar

Virtual Roundtable: Broker-Dealer Compliance Challenges During the Pandemic: Best Practices and Views to the Future

04/23/2020

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.

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Webinar

Webinar: Getting Up to Speed on the New NAIC Best Interest Rule

03/12/2020

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.

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Webinar

Webinar: An Overview of Standards of Conduct in the Financial Services Industry

01/30/2020

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.

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Webinar

Webinar: Navigating NY Reg 187’s Best Interest Standard

11/6/2019

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.

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Webinar

Webinar: Blueprint for an Effective, Efficient & Agile Policy Management Program

09/4/2019

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.

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Webinar

Webinar: SEC Regulation Best Interest: What You Need to Know

08/22/2019

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.

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Webinar

Webinar: A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter

02/14/2019

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.

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Webinar

Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry

12/09/2018

Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.

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Webinar

Webinar: State Model Acts: What You Need to Know

12/07/2018

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.

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Webinar

Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers

07/06/2018

An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.

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