RegEd to Exhibit Enterprise Compliance Solutions at 2023 NSCP National Conference

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 Member Sponsor and will exhibit its enterprise compliance platform at the 2023 National Society of Compliance Professionals (NSCP) National Conference in Dallas, TX, on Oct. 16-18.

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. Adam Schaub, RegEd VP of Platform Product Management, will be a featured speaker for session 10b, titled “BD/IA – FinTech and RegTech: Current Developments.” This session will focus on new developments in the FinTech and RegTech space, including topics such as machine learning and AI, and will focus on providing practical information to help compliance use technology effectively and efficiently. This informative session is scheduled for Wednesday, October 18, 2023, from 11:00 AM to 12:00 PM CT.

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:

  • AI-Powered Lexicon Detection – Harness the power of AI and millions of points of data from historical reviews to quickly identify problematic language within submissions. Save valuable time during reviews and ensure consistency across reviewers.
  • Smart DisclosuresSM – Revolutionize the way you handle disclosures by centralizing and automating the validation process. Eliminate manual tasks and ensure approved language is standardized across the organization.
  • Advanced Document Compare – Effortlessly track changes and compare previous submissions to ensure that required changes are implemented. Support for multiple file types accommodates a wide range of use cases.

SmartCompli: RegEd recently announced SmartCompli, which employs advanced technology and a proprietary data model that aggregates and normalizes trade, account and KYC data, from all major clearing and custody firms, as well as direct business. SmartCompli is integrated with RegEd’s market-leading Xchange Registration solution, enabling instant validation of advisor credentials to ensure that trades are made compliantly. This eliminates the need for firms to manage data exports on a continuous basis. Learn More.

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 #7 in the main exhibit hall at the Omni Dallas.

For more information on RegEd or its attendance at the 2023 NSCP National Conference, please call 800-334-8322 or email

About RegEd

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 visit

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