Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk.
As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum MemberAlly Sponsor and will exhibit its enterprise compliance platform at the 2022 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Oct. 17-19.
The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year’s conference agenda includes a hands-on workshop, “Creating Compliant Marketing Materials,” which will be facilitated by Adam Schaub, RegEd’s Vice President of Platform Product Management. This interactive session will focus on techniques for reviewers when conducting marketing material reviews.
RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions:
Advertising Review: The industry’s leading enterprise solution, RegEd Enterprise Advertising Review, is powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. Its robust capabilities have been proven across scores of large-firm implementations and can be configured according to a firm’s work processes, providing firms with best-in-class functionality to power their marketing, advertising, and customer communications review processes. All-new advanced capabilities include:
- Lexicon Detection – Automatically flag problematic keywords and phrases using firm-defined business rules. Reduce review times by focusing on high-risk content.
- Smart DisclosuresSM – Maintain approved disclosure language in a central location. Automatically validate required disclosures on review items.
- Document Compare – Side-by-side comparison of previously submitted items. Easily identify changes to speed review decisions.
Branch Audits: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Significantly reduces manual and paper-driven processes, creating a seamless and efficient end-to-end process for branch audit reviews. Learn More.
Conflicts of Interest: Integrated solutions that enable firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population. Includes expanded, industry-leading capabilities to manage Gifts, Gratuities & Contributions. Learn More.
Onboarding, Licensing, and Registration: RegEd’s Enterprise Xchange Onboarding, Licensing, and Registration solution, implemented in more than 150 financial services firms, boasts the most advanced automation in the industry, enabling cost-efficiencies for organizations and ensuring producer satisfaction with all L&R processes. Powered by an extensive compliance rules engine, Enterprise Xchange enables firms to seamlessly manage and track representatives’ licensing and registration, compliance, and education requirements. Learn More.
RegEd will be exhibiting at the conference and can be located at Booth #14 and Booth #15 in the main exhibit hall Gaylord National Hotel in National Harbor.
For more information on RegEd or its attendance at the 2022 NSCP National Conference, please call 800-334-8322 or email firstname.lastname@example.org.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation, and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please schedule a consultation.