About RegEd Compliance Alliance

RegEd’s annual conference is shaped by the input of our clients – compliance and operations professionals from the nation’s leading financial services firms – and imparts need-to-know information and best practices to enable attendees to gain the most possible value from their RegEd partnership.

Collaborate with RegEd: Client Advisory Board (CAB) members participate in product-specific sessions to learn about new enhancements and influence the product roadmap of RegEd solutions.

Engage with Regulators: RCA features a wide breadth of regulator-led sessions, including regulators and representatives from FINRA, SEC, NAIC, NIPR and State Securities Divisions.

Network with Peers: Network with 100+ compliance and operations professionals from leading financials services firms, as well as industry regulators and subject matter experts.

RCA 2019 Highlights

FINRA, SEC and State Securities Enforcement Trends

In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.

Keynote 2019: Heartificial Intelligence

In this year’s keynote, John C. Havens, Executive Director, IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems, presents his recommendations for prioritizing ethical considerations in the design of autonomous and intelligent systems.

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